Offerings // CAPRICOR THERAPEUTICS, INC.

CAPR offering history

Every offering-related filing in CAPRICOR THERAPEUTICS, INC.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 956 filings back to Feb 7, 2001.

Last executed offering

Dec 5, 2025

424B5 — priced deal (shares or notes)

Last registration (announced)

Sep 10, 2025

S-3 — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Dec 5, 2025	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Dec 5, 2025	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Dec 4, 2025	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Sep 23, 2025	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 10, 2025	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Nov 8, 2024	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 22, 2024	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Oct 17, 2024	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Oct 16, 2024	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Oct 16, 2024	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Oct 16, 2024	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 17, 2024	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 14, 2024	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Sep 29, 2023	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Sep 29, 2023	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jun 21, 2021	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jun 16, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jun 15, 2021	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Mar 16, 2021	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
May 19, 2020	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 19, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 7, 2020	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
May 4, 2020	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Mar 26, 2020	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Dec 19, 2019	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Dec 17, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 13, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 13, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 5, 2019	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Aug 29, 2019	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jul 22, 2019	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jul 18, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 17, 2019	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Oct 24, 2018	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Oct 19, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jul 17, 2017	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jul 17, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 7, 2017	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
May 8, 2017	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Apr 3, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)

CAPR offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

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CAPR offering FAQ

When did CAPR last execute an offering?

Per SEC filings, CAPRICOR THERAPEUTICS, INC.'s most recent priced offering document is a 424B5 filed 2025-12-05. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did CAPR last announce or register an offering?

The most recent registration is a S-3 filed 2025-09-10. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.