Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPRICOR THERAPEUTICS, INC.CAPR · Entity 5337 | Director | January 05, 2026 | January 07, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CAPRICOR THERAPEUTICS, INC.
Report date January 05, 2026 · Filed January 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.81 · Expires 2036-01-05 | Direct | 15,500 |
Reported balance
After 2026-01-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-01-05 · Grant · Acquired 15,500 · Balance 15,500 F1: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.81 · Expires 2036-01-05 | Direct | 1,360 |
Reported balance
After 2026-01-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-01-05 · Grant · Acquired 1,360 · Balance 1,360 F2: The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board committee service. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.81 · Expires 2036-01-05 | Direct | 5,420 |
Reported balance
After 2026-01-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-01-05 · Grant · Acquired 5,420 · Balance 5,420 F3: The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board service. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.
F2: The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board committee service.
F3: The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board service.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 05, 2026 Filed Jan 7, 2026 21:45 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 5,420 | $0.00 Strike: $24.81 | $0.00 |
DisclosureSEC source: 0001982730-26-000002 · form4-01072026_040119.xml · derivative · entry 3 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,420 Underlying: Common Stock · 5,420 shares Expires 2036-01-05 F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board service. Read SEC document |
| January 05, 2026 Filed Jan 7, 2026 21:45 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 1,360 | $0.00 Strike: $24.81 | $0.00 |
DisclosureSEC source: 0001982730-26-000002 · form4-01072026_040119.xml · derivative · entry 2 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,360 Underlying: Common Stock · 1,360 shares Expires 2036-01-05 F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 5, 2026, the date of the grant. The award pertains to annual board committee service. Read SEC document |
| January 05, 2026 Filed Jan 7, 2026 21:45 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 15,500 | $0.00 Strike: $24.81 | $0.00 |
DisclosureSEC source: 0001982730-26-000002 · form4-01072026_040119.xml · derivative · entry 1 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,500 Underlying: Common Stock · 15,500 shares Expires 2036-01-05 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 5,750 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000872 · form4-01062025_070113.xml · derivative · entry 3 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,750 Underlying: Common Stock · 5,750 shares Expires 2035-01-02 F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board service. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 1,440 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000872 · form4-01062025_070113.xml · derivative · entry 2 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,440 Underlying: Common Stock · 1,440 shares Expires 2035-01-02 F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant. The award pertains to annual board committee service. Read SEC document |
| January 02, 2025 Filed Jan 7, 2025 00:00 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 11,940 | $0.00 Strike: $14.96 | $0.00 |
DisclosureSEC source: 0001415889-25-000872 · form4-01062025_070113.xml · derivative · entry 1 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,940 Underlying: Common Stock · 11,940 shares Expires 2035-01-02 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2025, with the last month vesting on December 31, 2025, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 6,760 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000656 · form4-01042024_050118.xml · derivative · entry 3 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,760 Underlying: Common Stock · 6,760 shares Expires 2034-01-02 F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board service. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 890 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000656 · form4-01042024_050118.xml · derivative · entry 2 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 890 Underlying: Common Stock · 890 shares Expires 2034-01-02 F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant. The award pertains to annual board committee service. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 22:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 29,250 | $0.00 Strike: $5.12 | $0.00 |
DisclosureSEC source: 0001415889-24-000656 · form4-01042024_050118.xml · derivative · entry 1 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,250 Underlying: Common Stock · 29,250 shares Expires 2034-01-02 F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. Read SEC document |
| October 06, 2023 Filed Oct 10, 2023 13:15 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | PurchaseCommon Stock | 5,000 | $2.84 | $14,200.00 |
DisclosureSEC source: 0001415889-23-014050 · form4-10102023_091001.xml · nonDerivative · entry 1 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| July 11, 2023 Filed Jul 13, 2023 20:53 UTC | CAPRICOR THERAPEUTICS, INC. CAPR · Entity 5337 | GrantStock Option (Right to Buy) · Derivative | 115,000 | $0.00 Strike: $4.47 | $0.00 |
DisclosureSEC source: 0001415889-23-011086 · form4-07132023_080727.xml · derivative · entry 1 Auwaerter Paul Gisbert · CIK 0001982730 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,000 Underlying: Common Stock · 115,000 shares Expires 2033-07-11 F1 · derivative.exercise_date: The shares vest 25% on the first anniversary of the first day of the month following the Grant Date, with the remainder to vest at the rate of 1/36 per month thereafter. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.