Capricor Therapeutics, Inc. (CAPR) shareholders
CAPRNasdaqPharmaceutical PreparationsFiscal year ends December 31
$9.53−0.71 (-6.93%)
Close on Nov 13, 2026Market cap $554.07MP/E –Yield –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
67.6%
39M of 58M shares
Institutional holders
170
30 new, 35 sold out
Net institutional buying
5M
In Q2 2026
Insider trades, 12 months
0 buys · 13 sales
Net sold $8.37M
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Nippon Shinyaku Co., Ltd. | 7,090,351 | 18.90% | 13G (passive) amendment | Sep 20, 2024 |
| Kevin Tang Joint filing with Tang Capital Management, LLC (7.10%) | 4,099,900 | 7.10% | 13G (passive) amendment | Jun 30, 2026 |
| Aaron Cowen Joint filing with Suvretta Capital Management, LLC (6.60%), Averill Master Fund, Ltd. (5.60%) | 3,417,891 | 6.60% | 13G (passive) | Feb 19, 2026 |
| State Street Corporation | 3,397,241 | 5.90% | 13G (passive) | Jun 30, 2026 |
| Rajeev Shah Joint filing with RA Capital Management, L.P. (5.20%), Peter Kolchinsky (5.20%) and 1 more | 3,014,183 | 5.20% | 13G (passive) | Jul 27, 2026 |
| BlackRock, Inc. | 2,966,914 | 6.50% | 13G (passive) amendment | Dec 31, 2024 |
| Millennium Management LLC Joint filing with Millennium Group Management LLC (5.10%), Israel A. Englander (5.10%) | 2,943,086 | 5.10% | 13G (passive) | Sep 8, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of CAPR | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| BlackRock, Inc. | 4,145,061 | 7.13% | $99.81M | +723,246 | 0.00% |
| Tang Capital Management LLC | 4,099,900 | 7.05% | $98.73M | +700,000 | 4.48% |
| Suvretta Capital Management, LLC | 4,092,784 | 7.04% | $98.55M | +274,184 | 1.80% |
| State Street Corp | 3,397,150 | 5.84% | $81.80M | +1,215,249 | 0.00% |
| Vanguard Capital Management LLC | 2,297,674 | 3.95% | $55.33M | +269,942 | 0.00% |
| Goldman Sachs Group Inc | 1,578,131 | 2.71% | $38.00M | +666,155 | 0.00% |
| Ra Capital Management, L.P. | 1,507,844 | 2.59% | $36.31M | – | 0.32% |
| Boxer Capital Management, LLC | 1,395,156 | 2.40% | $33.60M | +805,156 | 2.53% |
| Geode Capital Management, LLC | 1,372,286 | 2.36% | $33.05M | +253,960 | 0.00% |
| FMR LLC | 1,137,730 | 1.96% | $27.40M | +365,081 | 0.00% |
| Citadel Advisors LLC | 814,444 | 1.40% | $19.61M | +275,212 | 0.00% |
| Mercer Global Advisors Inc /Adv | 802,732 | 1.38% | $19.33M | +399,733 | 0.02% |
| Soleus Capital Management, L.P. | 761,737 | 1.31% | $18.34M | New | 0.63% |
| Morgan Stanley | 684,515 | 1.18% | $16.48M | +260,696 | 0.00% |
| Vanguard Portfolio Management LLC | 636,087 | 1.09% | $15.32M | +256,873 | 0.00% |
| UBS Group AG | 619,661 | 1.07% | $14.92M | +247,677 | 0.00% |
| DG Capital Management, LLC | 611,595 | 1.05% | $14.73M | +219,499 | 3.10% |
| Ikarian Capital, LLC | 604,215 | 1.04% | $14.55M | +76,200 | 1.57% |
| Northern Trust Corp | 503,532 | 0.87% | $12.13M | +85,989 | 0.00% |
| Balyasny Asset Management L.P. | 486,836 | 0.84% | $11.72M | +189,713 | 0.01% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | % of shares | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|---|
| Q2 2026 | 170 | 39M | 67.6% | 30 / 72 | 45 / 35 | 9M | 4M |
| Q1 2026 | 177 | 34M | 58.2% | 71 / 58 | 35 / 22 | 14M | 5M |
| Q4 2025 | 132 | 27M | 47.2% | 45 / 43 | 39 / 24 | 15M | 2M |
| Q3 2025 | 115 | 15M | 25.2% | 34 / 26 | 36 / 26 | 4M | 3M |
| Q2 2025 | 107 | 14M | 23.6% | 16 / 41 | 37 / 29 | 2M | 6M |
| Q1 2025 | 121 | 18M | 31.6% | 33 / 47 | 23 / 19 | 3M | 2M |
| Q4 2024 | 108 | 17M | 29.8% | 51 / 35 | 15 / 17 | 11M | 2M |
| Q3 2024 | 75 | 8M | 14.5% | 29 / 21 | 12 / 14 | 5M | 1M |
| Q2 2024 | 61 | 6M | 11.1% | 22 / 18 | 16 / 17 | 3M | 2M |
| Q1 2024 | 56 | 5M | 8.8% | 24 / 17 | 8 / 5 | 2M | 1M |
| Q4 2023 | 37 | 4M | 7.0% | 6 / 15 | 8 / 3 | 1M | 3M |
| Q3 2023 | 34 | 6M | 9.5% | 5 / 8 | 11 / 3 | 3M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
137 funds held CAPR in Q2 2026, 70% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of CAPR | Value | % of fund | As of |
|---|---|---|---|---|---|
| State Street(R) SPDR(R) S&P(R) Biotech ETF | 2,178,269 | 3.75% | $52.45M | 0.49% | Jun 30, 2026 |
| Vanguard Total Stock Market Index Fund | 1,655,365 | 2.85% | $39.86M | 0.00% | Jun 30, 2026 |
| iShares Russell 2000 ETF | 1,400,623 | 2.41% | $33.73M | 0.04% | Jun 30, 2026 |
| Vanguard Extended Market Index Fund | 591,508 | 1.02% | $14.24M | 0.01% | Jun 30, 2026 |
| Fidelity Small Cap Index Fund | 587,905 | 1.01% | $2.26M | 0.01% | Jul 31, 2026 |
| iShares Russell 2000 Growth ETF | 496,401 | 0.85% | $11.95M | 0.08% | Jun 30, 2026 |
| Select Biotechnology Portfolio | 334,200 | 0.57% | $10.01M | 0.19% | May 31, 2026 |
| Fidelity Extended Market Index Fund | 238,101 | 0.41% | $7.13M | 0.02% | May 31, 2026 |
| Select Pharmaceuticals Portfolio | 231,300 | 0.40% | $6.93M | 0.46% | May 31, 2026 |
| Vanguard Russell 2000 Index Fund | 223,876 | 0.39% | $6.71M | 0.04% | May 31, 2026 |
| Strategic Advisers Fidelity U.S. Total Stock Fund | 190,170 | 0.33% | $5.70M | 0.00% | May 31, 2026 |
| Schwab Small-Cap Index Fund | 130,634 | 0.22% | $502.94K | 0.01% | Jul 31, 2026 |
| Nuveen Equity Index Fund | 110,633 | 0.19% | $425.94K | 0.00% | Jul 31, 2026 |
| Master Small Cap Index Series | 100,532 | 0.17% | $2.42M | 0.04% | Jun 30, 2026 |
| Invesco Dorsey Wright SmallCap Momentum ETF | 87,370 | 0.15% | $2.62M | 0.63% | May 31, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | % of shares | Latest filing |
|---|---|---|---|---|
| Linda Marban | CHIEF EXECUTIVE OFFICER, Director | 521,019 | 0.90% | Jan 7, 2026 |
| Karen Krasney | EVP, GENERAL COUNSEL | 30,547 | 0.05% | Jun 29, 2026 |
| Anthony Bergmann | CHIEF FINANCIAL OFFICER | 11,223 | 0.02% | Jun 29, 2026 |
| Michael T. Maurer | CHIEF COMMERCIAL OFFICER | – | – | May 28, 2026 |
| Frank Litvack | Director | 180,054 | 0.31% | May 14, 2026 |
| Karimah Es Sabar | Director | 7,529 | 0.01% | Apr 3, 2026 |
| George W. Dunbar Jr | Director | 14,306 | 0.02% | Jan 7, 2026 |
| David B. Musket | Director | 88,788 | 0.15% | Jan 7, 2026 |
| Philip J. Gotwals | Director | – | – | Jan 7, 2026 |
| Paul Gisbert Auwaerter | Director | 5,000 | 0.01% | Jan 7, 2026 |
| Mike Kelliher | Director | – | – | Jan 7, 2026 |
| Earl M. Collier Jr | Director | 57,606 | 0.10% | Feb 28, 2025 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Karen Krasney EVP, GENERAL COUNSEL | Jun 25, 2026 | Sale(10b5-1 plan) | −24,100 | $30.38 | $732.16K | 30,547 |
| Karen Krasney EVP, GENERAL COUNSEL | Jun 25, 2026 | Option exercise | +24,100 | $3.18 | $76.64K | 54,647 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Jun 25, 2026 | Sale(10b5-1 plan) | −24,100 | $30.38 | $732.16K | 11,223 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Jun 25, 2026 | Option exercise | +24,100 | $3.18 | $76.64K | 35,323 |
| Karen Krasney EVP, GENERAL COUNSEL | Jun 24, 2026 | Option exercise | +400 | $3.18 | $1.27K | 30,947 |
| Karen Krasney EVP, GENERAL COUNSEL | Jun 24, 2026 | Sale(10b5-1 plan) | −400 | $30.00 | $12.00K | 30,547 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Jun 24, 2026 | Sale(10b5-1 plan) | −400 | $30.00 | $12.00K | 11,223 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Jun 24, 2026 | Option exercise | +400 | $3.18 | $1.27K | 11,623 |
| Karen Krasney EVP, GENERAL COUNSEL | Jun 22, 2026 | Sale(10b5-1 plan) | −500 | $30.00 | $15.00K | 30,547 |
| Karen Krasney EVP, GENERAL COUNSEL | Jun 22, 2026 | Option exercise | +500 | $3.18 | $1.59K | 31,047 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Jun 22, 2026 | Sale(10b5-1 plan) | −500 | $30.00 | $15.00K | 11,223 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Jun 22, 2026 | Option exercise | +500 | $3.18 | $1.59K | 11,723 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | May 18, 2026 | Option exercise | +3,000 | $1.39 | $4.17K | 11,223 |
| Frank Litvack Director | May 13, 2026 | Option exercise | +3,937 | $1.39 | $5.47K | 133,776 |
| Karen Krasney EVP, GENERAL COUNSEL | May 1, 2026 | Option exercise | +25,000 | $3.18 | $79.50K | 55,547 |
| Karen Krasney EVP, GENERAL COUNSEL | May 1, 2026 | Sale(10b5-1 plan) | −25,000 | $31.70 | $792.50K | 30,547 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | May 1, 2026 | Sale(10b5-1 plan) | −25,000 | $31.70 | $792.50K | 8,223 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | May 1, 2026 | Option exercise | +25,000 | $3.18 | $79.50K | 33,223 |
| Karimah Es Sabar Director | Apr 2, 2026 | Option exercise | +7,529 | $3.18 | $23.94K | 7,529 |
| Karimah Es Sabar Director | Apr 2, 2026 | Sale(10b5-1 plan) | −7,529 | $32.00 | $240.93K | 0 |
| Karimah Es Sabar Director | Apr 1, 2026 | Sale(10b5-1 plan) | −53,735 | $31.03 | $1.67M | 0 |
| Karimah Es Sabar Director | Apr 1, 2026 | Option exercise | +53,735 | $4.86 | $261.15K | 53,735 |
| Karimah Es Sabar Director | Mar 31, 2026 | Sale(10b5-1 plan) | −61,265 | $30.17 | $1.85M | 0 |
| Karimah Es Sabar Director | Mar 31, 2026 | Option exercise | +61,265 | $4.86 | $297.75K | 61,265 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Mar 31, 2026 | Sale(10b5-1 plan) | −25,000 | $30.13 | $753.25K | 8,223 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Mar 31, 2026 | Option exercise | +25,000 | $3.18 | $79.50K | 33,223 |
| Karen Krasney EVP, GENERAL COUNSEL | Mar 31, 2026 | Option exercise | +21,488 | $3.74 | $80.37K | 52,728 |
| Karen Krasney EVP, GENERAL COUNSEL | Mar 31, 2026 | Sale(10b5-1 plan) | −25,000 | $30.12 | $753.00K | 30,547 |
| Karen Krasney EVP, GENERAL COUNSEL | Mar 31, 2026 | Option exercise | +693 | $1.39 | $963 | 31,240 |
| Karen Krasney EVP, GENERAL COUNSEL | Mar 31, 2026 | Option exercise | +2,819 | $3.18 | $8.96K | 55,547 |
| Karen Krasney EVP, GENERAL COUNSEL | Dec 30, 2025 | Option exercise | +2,500 | $1.39 | $3.47K | 30,547 |
| George W. Dunbar Jr Director | Dec 19, 2025 | Option exercise | +3,000 | $1.39 | $4.17K | 14,306 |
| Linda Marban CHIEF EXECUTIVE OFFICER, Director | Mar 5, 2025 | Other | −12,500 | – | – | 211,104 |
| Linda Marban CHIEF EXECUTIVE OFFICER, Director | Mar 3, 2025 | Option exercise | +25,000 | $1.39 | $34.75K | 223,604 |
| George W. Dunbar Jr Director | Mar 3, 2025 | Option exercise | +750 | $1.39 | $1.04K | 11,306 |
| Frank Litvack Director | Mar 3, 2025 | Option exercise | +25,000 | $1.39 | $34.75K | 132,382 |
| Frank Litvack Director | Mar 3, 2025 | Tax withholding | −2,543 | $13.67 | $34.76K | 129,839 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Mar 3, 2025 | Option exercise | +2,500 | $1.39 | $3.47K | 8,223 |
| Earl M. Collier Jr Director | Feb 27, 2025 | Option exercise | +750 | $1.39 | $1.04K | 57,606 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Jan 2, 2025 | Award | +3,342 | – | – | 5,723 |
| Karen Krasney EVP, GENERAL COUNSEL | Dec 13, 2024 | Option exercise | +8,000 | $1.39 | $11.12K | 28,047 |
| Frank Litvack Director | Dec 3, 2024 | Option exercise | +20,391 | $1.10 | $22.43K | 46,278 |
| Shinyaku Co Ltd Nippon 10% owner | Sep 20, 2024 | Buy | +2,798,507 | $5.36 | $15.00M | 7,090,351 |
| David B. Musket Director | Aug 7, 2024 | Option exercise | +34,000 | $1.39 | $47.26K | 81,692 |
| Earl M. Collier Jr Director | Apr 23, 2024 | Option exercise | +30,000 | $1.39 | $41.70K | 56,856 |
| David B. Musket Director | Apr 23, 2024 | Option exercise | +16,156 | $1.39 | $22.46K | 47,692 |
| Anthony Bergmann CHIEF FINANCIAL OFFICER | Oct 23, 2023 | Option exercise | +2,178 | $1.39 | $3.03K | 2,381 |
| David B. Musket Director | Oct 12, 2023 | Buy | +410 | $2.75 | $1.13K | 31,536 |
| Earl M. Collier Jr Director | Oct 10, 2023 | Buy | +10,000 | $2.83 | $28.30K | 26,856 |
| David B. Musket Director | Oct 9, 2023 | Buy | +5,083 | $2.82 | $14.33K | 31,126 |
| Paul Gisbert Auwaerter Director | Oct 6, 2023 | Buy | +5,000 | $2.84 | $14.20K | 5,000 |
| David B. Musket Director | Oct 4, 2023 | Buy | +2,500 | $2.90 | $7.25K | 26,043 |
| Frank Litvack Director | Aug 14, 2023 | Option exercise | +20,748 | $1.39 | $28.84K | 137,633 |
| Frank Litvack Director | Aug 14, 2023 | Tax withholding | −4,364 | $6.61 | $28.85K | 133,269 |
| Linda Marban CHIEF EXECUTIVE OFFICER, Director | May 12, 2023 | Option exercise | +20,749 | $1.39 | $28.84K | 198,604 |
| Xavier Avat – | Apr 17, 2023 | Sale | −14,772 | $64258.00 | $949.22M | 0 |
| Xavier Avat – | Apr 5, 2023 | Tax withholding | −70,019 | $4.19 | $293.38K | 14,772 |
| Xavier Avat – | Apr 5, 2023 | Option exercise | +84,791 | $3.46 | $293.38K | 84,791 |
| Xavier Avat – | Mar 28, 2023 | Sale | −3,000 | $4.06 | $12.18K | 0 |
| Louis Manzo Director | Feb 21, 2023 | Option exercise | +1,401 | $1.39 | $1.95K | 62,599 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Short % of float
32.79%
19M shares short
Days to cover
7.4
At 3M shares a day
Change since last report
-5.5%
From 20M shares
Short volume, 20 days
51.2%
Of volume reported to FINRA
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of Capricor Therapeutics's stock actually held short. Settlement fails (shares not delivered on time) peaked at 722,940 shares on Aug 25, 2026 over the last 90 days.
Planned insider sales
Notices of proposed sale filed on Form 144 before shares are sold
| Seller | Filed | Shares | Market value | Planned sale | Acquired through |
|---|---|---|---|---|---|
| David B. Musket Director | May 19, 2026 | 88,788 | $2.40M | May 19, 2026 | Purchase |
| David B. Musket Director | May 19, 2026 | 10,000 | $273.20K | May 19, 2026 | Stock Award |
| Karimah Es Sabar Director | Apr 2, 2026 | 7,529 | $226.77K | Apr 2, 2026 | Exercise of Stock Options |
| Karen Krasney Officer | Mar 31, 2026 | 75,000 | $2.08M | Mar 31, 2026 | Exercise of Stock Options |
| Anthony Bergmann Officer | Mar 31, 2026 | 75,000 | $2.08M | Mar 31, 2026 | Exercise of Stock Options |
| Karimah Es Sabar Director | Mar 31, 2026 | 115,000 | $3.19M | Mar 31, 2026 | Exercise of Stock Options |
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