Capricor Therapeutics, Inc. 8-K Filing

FAQ

Key Financial Figures

• $0.001 — h Registered Common Stock, par value $0.001 per share CAPR The Nasdaq Capital M
• $25.00 — erwriters at a public offering price of $25.00 per share. The gross proceeds to the Co
• $150 million — fering are expected to be approximately $150 million before deducting underwriting discounts
• $150 Million — ricor Therapeutics Announces Pricing of $150 Million Public Offering of Common Stock", dated

Filing Documents

• capr-20251205x8k.htm (8-K) — 44KB
• capr-20251205xex1d1.htm (EX-1.1) — 295KB
• capr-20251205xex5d1.htm (EX-5.1) — 14KB
• capr-20251205xex99d1.htm (EX-99.1) — 11KB
• capr-20251205xex5d1002.jpg (GRAPHIC) — 4KB
• capr-20251205xex99d1001.jpg (GRAPHIC) — 5KB
• 0001104659-25-118934.txt ( ) — 547KB
• capr-20251205.xsd (EX-101.SCH) — 3KB
• capr-20251205_lab.xml (EX-101.LAB) — 15KB
• capr-20251205_pre.xml (EX-101.PRE) — 9KB
• capr-20251205x8k_htm.xml (XML) — 5KB

01

Item 7.01 Regulation FD Disclosure. On December 5, 2025, the Company issued a press release announcing the pricing of the Offering (as defined below). A copy of the press release is attached as Exhibit 99.1 hereto and is incorporated herein by reference. The information under Item 7.01 of this Current Report on Form 8-K, including Exhibit 99.1 attached hereto, is being furnished and shall not be deemed to be filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, nor shall it be incorporated by reference into any of the Company's filings under the Exchange Act, unless expressly set forth as being incorporated by reference into such filing.

01

Item 8.01 Other Events. On December 5, 2025, Capricor Therapeutics, Inc., a Delaware corporation (the "Company"), entered into an underwriting agreement (the "Underwriting Agreement") with Piper Sandler & Co. and Oppenheimer & Co. Inc. as representatives of the underwriters (the "Underwriters"), pursuant to which the Company agreed to sell and issue, in a public offering (the "Offering"), an aggregate of 6,000,000 shares of common stock, $0.001 par value per share, of the Company (the "Common Stock"), to the Underwriters at a public offering price of $25.00 per share. The gross proceeds to the Company from the Offering are expected to be approximately $150 million before deducting underwriting discounts and commissions and offering expenses. In addition, under the terms of the Underwriting Agreement, the Company granted the Underwriters a 30-day option to purchase up to 900,000 additional shares of Common Stock at the public offering price less underwriting discounts and commissions. The Company intends to use the net proceeds from the Offering for the continued development of its product candidates, manufacturing of its product candidates, working capital and general corporate purposes. The Offering is being made pursuant to the Company's registration statement on Form S-3 (File No. 333-290179) that was filed with the Securities and Exchange Commission on September 10, 2025 and declared effective on September 23, 2025, and a prospectus supplement dated December 5, 2025. The Offering is expected to close on or about December 8, 2025, subject to the satisfaction of customary closing conditions. The Underwriting Agreement contains customary representations, warranties and agreements by the Company, customary conditions to closing, indemnification obligations of the Company and the Underwriters, including for liabilities under the Securities Act of 1933, as amended, other obligations of the parties and termination provisions. The representations, warranties and c

01 Financial Statements and Exhibits

Item 9.01 Financial Statements and Exhibits. (d) Exhibits 1.1 Underwriting Agreement, dated December 5 , 2025, by and between the Company and Piper Sandler & Co. and Oppenhei mer & Co. Inc. 5.1 Opinion of Sidley Austin LLP 23.1 Consent of Sidley Austin LLP (included in Exhibit 5.1) 99.1 Press Release, titled "Capricor Therapeutics Announces Pricing of $150 Million Public Offering of Common Stock", dated December 5, 2025. 104 Cover Page Interactive Data File (formatted as inline XBRL). 2

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized. CAPRICOR THERAPEUTICS, INC. Date: December 5, 2025 By: /s/ Linda Marbn, Ph.D. Linda Marbn, Ph.D. Chief Executive Officer 3

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