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| LEI | 5493002ZI5PDLXV4DX14 |
| CIK | 1133869 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Capricor Therapeutics, Inc.
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| August 11, 2025 |
Capricor Therapeutics Reports Second Quarter 2025 Financial Results and Provides Corporate Update Exhibit 99.1 Capricor Therapeutics Reports Second Quarter 2025 Financial Results and Provides Corporate Update ● Type A meeting with U.S. FDA scheduled to discuss Deramiocel BLA and path toward potential approval ● Capricor seeks to resubmit its BLA based on its existing dataset, with HOPE-3 data (expected in Q4 2025) potentially serving as supportive and confirmatory evidence, pending regulatory |
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| August 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 11, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commiss |
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| August 11, 2025 |
Consulting Agreement between Capricor, Inc. and Earl Collier, Jr., dated May 22, 2025. Exhibit 10.3 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (“Agreement”) is entered into as of the 22nd day of May, 2025 (the “Effective Date”), by and between Capricor Therapeutics, Inc. a Delaware corporation (“Capricor”), whose office |
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| August 11, 2025 |
variable UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents variable UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| July 11, 2025 |
Capricor Therapeutics Provides Regulatory Update on Deramiocel BLA for Duchenne Muscular Dystrophy Exhibit 99.1 Capricor Therapeutics Provides Regulatory Update on Deramiocel BLA for Duchenne Muscular Dystrophy ● FDA issued Complete Response Letter ● Capricor plans to resubmit its BLA to include data from the ongoing Phase 3 HOPE-3 trial in Q3 2025 to continue pursuing the indication for the treatment of cardiomyopathy associated with Duchenne muscular dystrophy ● FDA advised Capricor to reques |
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| July 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 11, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| June 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 88-0363465 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) Capricor Therapeutics, Inc. 10865 Road to the Cure, Suite |
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| June 16, 2025 |
Capricor Therapeutics, Inc. 2025 Equity Incentive Plan.* Exhibit 4.7 CAPRICOR THERAPEUTICS, INC. 2025 EQUITY INCENTIVE PLAN Capricor Therapeutics, Inc., a Delaware corporation (the “Company”), sets forth herein the terms of this 2025 Equity Incentive Plan (the “Plan”). 1.Purposes of the Plan. The purposes of this Plan are: ● to attract and retain the best available personnel for positions of substantial responsibility, ● to provide additional incentive |
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| June 16, 2025 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Capricor Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(3) Maximum Aggregate Offering Price(3) Fee Rate Amount of Registration Fee Equity Common Stock |
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| June 16, 2025 |
Form of Stock Option Agreement for Capricor Therapeutics, Inc. 2025 Equity Incentive Plan.* Exhibit 4.8 CAPRICOR THERAPEUTICS, INC. 2025 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2025 Equity Incentive Plan of Capricor Therapeutics, Inc. (the “Plan”) shall have the same defined meanings in this Stock Option Agreement (the “Agreement”). I. NOTICE OF STOCK OPTION GRANT Name: (“Participant”) The undersigned Participant has been gra |
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| May 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 22, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 14, 2025 |
variable UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents variable UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 14, 2025 |
Exhibit 10.1 CAPRICOR THERAPEUTICS, INC. 2021 EQUITY INCENTIVE PLAN Restricted Stock Award Agreement You, (the "Participant"), are hereby awarded Restricted Stock subject to the terms and conditions set forth in this Award Agreement (the "Award Agreement" or "Award") and in the Capricor Therapeutics, Inc. 2021 Equity Incentive Plan ("Plan"). A copy of the Plan is attached as Exhibit A. You should |
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| May 13, 2025 |
Capricor Therapeutics Reports First Quarter 2025 Financial Results and Provides Corporate Update Exhibit 99.1 Capricor Therapeutics Reports First Quarter 2025 Financial Results and Provides Corporate Update ● Biologics License Application (BLA) for deramiocel in the treatment of Duchenne muscular dystrophy (DMD) remains under priority review by the U.S. FDA, with a target Prescription Drug User Fee Act (PDUFA) date slated for August 31, 2025 ● Recently completed mid-cycle review meeting with |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 13, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| April 8, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement1 ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Def |
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| April 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 8, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| March 26, 2025 |
Exhibit 10.54 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. FOURTH AMENDMENT TO LEASE THIS FOURTH AMENDMENT TO LEASE dated February 26, 2025, is made by and between Altman Investment Company, LLC (“Landlord”) and Capricor Therapeutics, Inc. (“Lessee”). A. WHEREAS, Landlord and Lessee |
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| March 26, 2025 |
Capricor Therapeutics, Inc. Insider Trading Policy. * Exhibit 19.1 CAPRICOR THERAPEUTICS, INC. INSIDER TRADING POLICY (AMENDED FEBRUARY 20, 2025) CAPRICOR THERAPEUTICS, INC. POLICY ON INSIDER TRADING I.INTRODUCTION 1.This Insider Trading Policy (this “Policy”) provides the standards of CAPRICOR THERAPEUTICS, INC. (the “Company”) on trading and causing the trading of the Company’s securities or securities of other publicly-traded companies while in po |
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| March 26, 2025 |
Exhibit 10.39 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. FIRST AMENDMENT TO RESTATED AND AMENDED EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO THE RESTATED AND AMENDMED EMPLOYMENT AGREEMENT (“Amendment”) is being entered into by and between CAPRICOR THERAPEUTICS, INC. (“CAPR”) and |
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| March 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K þ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2024 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAPRICO |
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| March 26, 2025 |
Description of the Company’s Common Stock, par value $0.001 per share.* Exhibit 4.1 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The authorized capital stock of Capricor Therapeutics, Inc. consists of 105,000,000 shares, consisting of 100,000,000 shares of common stock, $0.001 par value per share (the “common stock”) and 5,000,000 shares of preferred stock, $0.001 par value per share (the “preferred st |
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| March 26, 2025 |
Exhibit 10.43 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. FIRST AMENDMENT TO RESTATED AND AMENDED EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (“Amendment”) is being entered into by and between CAPRICOR THERAPEUTICS, INC. (“CAPR”) and CAPRICOR, INC., (“Capricor |
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| March 26, 2025 |
Exhibit 10.51 AMENDMENT TO LEASE This AMENDMENT TO LEASE dated June 8, 2022, is by and between Altman Investment Company, LP ("Landlord") and Capricor Therapeutics, Inc. ("Tenant"). A.WHEREAS Landlord and Tenant entered into that certain Lease Agreement, made as of July 16, 2021, for the lease of a portion of the ground floor ("Premises") of I 0865 Altman Row, San Diego, California. B.WHEREAS the |
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| March 26, 2025 |
Exhibit 10.36 SIXTH AMENDMENT TO FACILITIES LEASE This Sixth Amendment to Facilities Lease (“Fourth Amendment”) is effective as of July 31, 2022 and is made by and between CEDARS-SINAI MEDICAL CENTER, a California nonprofit public benefit corporation (“Landlord”) and CAPRICOR, INC., a Delaware corporation (“Tenant”), with reference to the facts and circumstances set forth below. A.Landlord and Ten |
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| March 26, 2025 |
Exhibit 10.41 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. FIRST AMENDMENT TO RESTATED AND AMENDED EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO EMPLOYMENT AGREEMENT (“Amendment”) is being entered into by and between CAPRICOR THERAPEUTICS, INC. (“CAPR”) and CAPRICOR, INC., (“Capricor |
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| March 26, 2025 |
Exhibit 10.53 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. AMENDMENT TO LEASE This AMENDMENT TO LEASE dated August 10, 2023, is by and between Altman Investment Company, LP ("Landlord") and Capricor Therapeutics, Inc. ("Tenant"). A. WHEREAS Landlord and Tenant entered into that cert |
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| March 26, 2025 |
Capricor Therapeutics, Inc. Policy on Recoupment of Incentive Compensation. * Exhibit 97 CAPRICOR THERAPEUTICS, INC. POLICY ON RECOUPMENT OF INCENTIVE COMPENSATION Introduction The Board of Directors (the “Board”) of Capricor Therapeutics, Inc. (the “Company”) has adopted this Policy on Recoupment of Incentive Compensation (this “Policy”), which provides for the recoupment of compensation in certain circumstances in the event of a restatement of financial results by the Com |
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| March 26, 2025 |
Exhibit 10.52 SECOND AMENDMENT TO LEASE This SECOND AMENDMENT TO LEASE dated September 8, 2022, is by and between Altman Investment Company, LP ("Landlord") and Capricor Therapeutics, Inc. ("Tenant"). A. WHEREAS Landlord and Tenant entered into that certain Lease Agreement, made as of July 16, 2021, for the lease of a portion of the ground floor ("Premises") of 10865 Altman Row, San Diego, Califor |
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| March 26, 2025 |
Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT LEGAL NAME JURISDICTION OF ORGANIZATION Capricor, Inc. Delaware |
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| March 19, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 19, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| March 19, 2025 |
Exhibit 99.1 Capricor Therapeutics Reports Fourth Quarter and Full Year 2024 Financial Results and Provides Corporate Update ● Announced the U.S. FDA has accepted our Biologics License Application (BLA) seeking full approval of deramiocel for the treatment of Duchenne muscular dystrophy (DMD) cardiomyopathy ● BLA granted priority review with a Prescription Drug User Fee Act (PDUFA) target action d |
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| March 4, 2025 |
Exhibit 99.1 Capricor Therapeutics Announces FDA Acceptance and Priority Review of its Biologics License Application for Deramiocel to Treat Duchenne Muscular Dystrophy -FDA assigns PDUFA target action date of August 31, 2025- -If approved, deramiocel would be first therapy to treat Duchenne muscular dystrophy cardiomyopathy- -At this time, FDA has not identified any potential review issues with t |
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| March 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 4, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| February 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 88-0363465 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) Capricor Therapeutics, Inc. 10865 Road to the Cure, Suite |
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| February 5, 2025 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Capricor Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(3) Maximum Aggregate Offering Price(3) Fee Rate Amount of Registration Fee Equity Common Stock |
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| January 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 2, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commiss |
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| January 2, 2025 |
Exhibit 99.1 Capricor Therapeutics Completes Submission of Biologics License Application to the U.S. FDA for Deramiocel for the Treatment of Duchenne Muscular Dystrophy -If approved, deramiocel would be first approved therapy for Duchenne muscular dystrophy cardiomyopathy- -BLA submission triggers $10 million milestone payment to Capricor from Nippon Shinyaku- SAN DIEGO, Jan. 2, 2025 - Capricor Th |
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| November 14, 2024 |
Exhibit 10.1 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. TERM SHEET FOR DISTRIBUTION OF DERAMIOCEL (CAP-1002) IN EUROPE August 27, 2024 Items Contents Party/Parties Capricor Therapeutics, Inc. and Capricor, Inc. (hereinafter collectively “Capricor”) and Nippon Shinyaku Co., Ltd. (h |
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| November 14, 2024 |
Exhibit 10.6 SEVENTH AMENDMENT TO FACILITIES LEASE This Seventh Amendment to Facilities Lease (“Seventh Amendment”) is effective as of September 26, 2023 and is made by and between CEDARS-SINAI MEDICAL CENTER, a California nonprofit public benefit corporation (“Landlord”) and CAPRICOR, INC., a Delaware corporation (“Tenant”), with reference to the facts and circumstances set forth below. A. Landlo |
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| November 14, 2024 |
variable UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents variable UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 13, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commi |
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| November 13, 2024 |
Capricor Therapeutics Reports Third Quarter 2024 Financial Results and Provides Corporate Update Exhibit 99.1 Capricor Therapeutics Reports Third Quarter 2024 Financial Results and Provides Corporate Update ● Announced intent to file a biologics license application (BLA) for deramiocel to treat all patients with DMD-cardiomyopathy ● Rolling BLA submission initiated in October 2024 with full submission expected by year-end 2024 ● Company anticipates potential PDUFA date in second half of 2025 |
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| November 8, 2024 |
SC 13G/A 1 p24-3053sc13ga.htm CAPRICOR THERAPEUTICS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Capricor Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 14070B309 (CUSIP Number) September 30, 2024 (Date of event which requires filing of this st |
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| November 6, 2024 |
CAPRICOR THERAPEUTICS, INC. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 November 6, 2024 CAPRICOR THERAPEUTICS, INC. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 November 6, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Jessica Dickerson Division of Corporation Finance Re: Capricor Therapeutics, Inc. Registration Statement on Form S-3 Registration No. 333-282777 Ladies and G |
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| October 22, 2024 |
Calculation of Registration Fee Table.* Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Capricor Therapeutics, Inc. |
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| October 22, 2024 |
As filed with the Securities and Exchange Commission on October 22, 2024 Table of Contents As filed with the Securities and Exchange Commission on October 22, 2024 Registration No. |
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| October 17, 2024 |
Capricor Therapeutics Announces Pricing of Approximately $75 Million Public Offering of Common Stock Exhibit 99.1 Capricor Therapeutics Announces Pricing of Approximately $75 Million Public Offering of Common Stock SAN DIEGO, Oct. 17, 2024 (GLOBE NEWSWIRE) - Capricor Therapeutics (NASDAQ: CAPR), a biotechnology company developing transformative cell and exosome-based therapeutics for the treatment of rare diseases, today announced the pricing of its underwritten offering of 4,412,000 shares of co |
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| October 17, 2024 |
TABLE OF CONTENTS Filed pursuant to Rule 424(b)(5) Registration No. 333-280229 PROSPECTUS SUPPLEMENT (to Prospectus dated October 16, 2024) 4,412,000 Shares of Common Stock We are offering shares of our common stock to certain investors pursuant to this prospectus supplement and the accompanying prospectus. Our common stock is listed on The Nasdaq Capital Market under the symbol “CAPR.” The last |
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| October 17, 2024 |
Exhibit 1.1 CAPRICOR THERAPEUTICS, INC. (a Delaware corporation) 4,412,000 Shares of Common Stock UNDERWRITING AGREEMENT Dated: October 16, 2024 CAPRICOR THERAPEUTICS, INC. (a Delaware corporation) 4,412,000 Shares of Common Stock UNDERWRITING AGREEMENT October 16, 2024 PIPER SANDLER & CO. OPPENHEIMER & CO. INC. as Representatives of the several Underwriters c/o PIPER SANDLER & CO. U.S. Bancorp Ce |
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| October 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 16, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commis |
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| October 17, 2024 |
EXHIBIT 107 Narrative Disclosure The maximum aggregate offering price of the securities to which the prospectus relates is $86,254,600. The prospectus is a final prospectus for the related offering. |
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| October 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 16, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commis |
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| October 16, 2024 |
SUBJECT TO COMPLETION, DATED OCTOBER 16, 2024 TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed. |
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| October 16, 2024 |
Calculation of Registration Fee Table.* Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Capricor Therapeutics, Inc. |
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| October 16, 2024 |
CAPRICOR THERAPEUTICS, INC. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 October 16, 2024 CAPRICOR THERAPEUTICS, INC. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 October 16, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Lauren Hamill Division of Corporation Finance Re: Capricor Therapeutics, Inc. Registration Statement on Form S-3 Registration No. 333-280229 Ladies and Gentl |
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| October 16, 2024 |
As filed with the Securities and Exchange Commission on October 16, 2024 Table of Contents As filed with the Securities and Exchange Commission on October 16, 2024 Registration No. |
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| October 15, 2024 |
CAPRICOR THERAPEUTICS, INC. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 October 15, 2024 CAPRICOR THERAPEUTICS, INC. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 October 15, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Lauren Hamill Division of Corporation Finance Re: Capricor Therapeutics, Inc. Registration Statement on Form S-3 Registration No. 333-280229 Ladies and Gentl |
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| October 9, 2024 |
Exhibit 99.1 Capricor Therapeutics Announces Initiation of Rolling Submission of Biologics License Application (BLA) with U.S. FDA for Deramiocel for the Treatment of Duchenne Muscular Dystrophy -Company Plans to Complete Rolling BLA Submission by End of 2024; Application May be Eligible for Priority Review by FDA- SAN DIEGO, Oct. 9, 2024 (GLOBE NEWSWIRE) - Capricor Therapeutics (NASDAQ: CAPR), a |
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| October 9, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 9, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commiss |
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| September 24, 2024 |
Exhibit 99.1 Capricor Therapeutics Announces Intent to File Biologics License Application for Full Approval of Deramiocel for the Treatment of Duchenne Muscular Dystrophy Cardiomyopathy -BLA to be Supported by Existing and Natural History Cardiac Data as Discussed with the FDA- Initial Label Would Include All Patients with Cardiomyopathy Associated with Duchenne Muscular Dystrophy- -Rolling Submis |
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| September 24, 2024 |
CAPR / Capricor Therapeutics, Inc. / Nippon Shinyaku Co Ltd Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Capricor Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 14070B309 (CUSIP Number) (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 20, 2024 (Date of Event which Re |
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| September 24, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 24, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Comm |
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| September 24, 2024 |
Exhibit 99.2 Linda Marbán, Ph.D. Chief Executive Officer Capricor Therapeutics, Inc. NASDAQ: CAPR September 24, 2024 Capricor Therapeutics, Inc. Developing Transformative Therapies from Bench to Bedside Forward Looking Statements Statements in this presentation regarding the efficacy, safety, and intended utilization of Capricor’s product candidates; the initiation, conduct, size, timing and resul |
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| September 17, 2024 |
Exhibit 10.1 Execution Version SIGNATURE PAGE TO SUBSCRIPTION AGREEMENT The undersigned has caused this Subscription Agreement to be duly executed by its authorized signatory as of the date of this Subscription Agreement as set forth in the Preamble below. Nipp Name of Investor: Nippon Shinyaku Co., Ltd. Signature: /s/ Takanori Edamitsu Name (print): Takanori Edamitsu Title: Director, Business Man |
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| September 17, 2024 |
Exhibit 10.2 Execution Version REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of September 16, 2024, by and among CAPRICOR THERAPEUTICS, INC., a Delaware corporation (the “Company”), and each other party identified on the signature pages hereto. This Agreement is made in connection with those certain Subscription Agreements (collecti |
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| September 17, 2024 |
Exhibit 10.3 Letter of Intent September 16, 2024 CONFIDENTIAL Capricor Therapeutics, Inc. Dear Dr. Linda Marbán: Nippon Shinyaku Co., Ltd., a corporation organized under the laws of Japan, with its principal office located at 14, Nishinosho-Monguchi-cho, Kisshoin, Minami-ku, Kyoto 601-8550, Japan (“NS”), is pleased to submit to Capricor Therapeutics, Inc., a corporation organized under the laws of |
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| September 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 16, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Comm |
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| September 17, 2024 |
Exhibit 99.1 Capricor Therapeutics Signs Binding Term Sheet with Nippon Shinyaku for European Expansion and Commercialization of Deramiocel for the Treatment of Duchenne Muscular Dystrophy -Capricor to Receive $15 Million Equity Investment at a 20% Premium, as well as $20 Million Upfront Payment upon Signing Definitive Agreement with up to $715 Million in Potential Milestones and a Double-Digit Pe |
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| August 23, 2024 |
CAPR / Capricor Therapeutics, Inc. / Nippon Shinyaku Co Ltd Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Capricor Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 14070B309 (CUSIP Number) (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 3, 2024 (Date of Event which Require |
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| August 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2024 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAP |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 7, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| August 7, 2024 |
Exhibit 99.1 Capricor Therapeutics Reports Second Quarter 2024 Financial Results and Provides Corporate Update -Recently Held Positive Pre-BLA Meeting with FDA with Aim to Accelerate Approval Pathway of Deramiocel for the Treatment of Duchenne Muscular Dystrophy- -Phase 3, HOPE-3 Trial of Deramiocel in DMD Fully Enrolled; On Track to Report Top-Line Data from Cohort A in Q4 2024- -Reported Positiv |
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| June 14, 2024 |
As filed with the Securities and Exchange Commission on June 14, 2024 Table of Contents As filed with the Securities and Exchange Commission on June 14, 2024 Registration No. |
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| June 14, 2024 |
Calculation of Registration Fee Table.* Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Capricor Therapeutics, Inc. |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 14, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 15, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 14, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 15, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF CAPRICOR THERAPEUTICS, INC. Capricor Therapeutics, Inc. (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (the “DGCL”), does hereby certify that: FIRST: The name of the Corporation is Capricor Therapeutics, Inc. SECOND: The original Certificate of Incorporation |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2024 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CA |
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| May 13, 2024 |
Exhibit 99.1 Capricor Therapeutics Reports First Quarter 2024 Financial Results and Provides Corporate Update -Phase 3, HOPE-3 Trial (Cohort A) of CAP-1002 in Duchenne Muscular Dystrophy Fully Enrolled; On Track to Report Top-Line Data in Q4 2024- -Positive Type-B CMC FDA Meeting held in Q1; Company Aligned with FDA on Demonstration of Non-Clinical Comparability, A Major Milestone on Path to CMC C |
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| May 13, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 13, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 29, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| April 29, 2024 |
Exhibit 99.1 ƉƌŝůϮϵ͕ϮϬϮϰ EĂƐĚĂƋ͗ WZ WͲϭϬϬϮDWƌŽŐƌĂŵ ϭϬϬϮ D WƌŽŐ hƉĚĂƚĞĂůů ĂƉƌŝĐŽƌdŚĞƌĂƉĞƵƚŝĐƐ͕/ŶĐ͘ ĞǀĞůŽƉŝŶŐdƌĂŶƐĨŽƌŵĂƚŝǀĞdŚĞƌĂƉŝĞƐ ĨƌŽŵĞŶĐŚƚŽĞĚƐŝĚĞ &ŽƌǁĂƌĚ>ŽŽŬŝŶŐƚĂƚĞŵĞŶƚƐ ƚĂƚĞŵĞŶƚƐŝŶ ƚŚŝƐƉƌĞƐĞŶƚĂƚŝŽŶƌĞŐĂƌĚŝŶŐƚŚĞĞĨĨŝĐĂĐLJ͕ƐĂĨĞƚLJ͕ĂŶĚŝŶƚĞŶĚĞĚƵƚŝůŝnjĂƚŝŽŶŽĨĂƉƌŝĐŽƌ͛ƐƉƌŽĚƵĐƚĐĂŶĚŝĚĂƚĞƐ͖ƚŚĞ ŝŶŝƚŝĂƚŝŽŶ͕ ĐŽŶĚƵĐƚ͕ ƐŝnjĞ͕ƚŝŵŝŶŐĂŶĚ ƌĞƐƵůƚƐ ŽĨ ĚŝƐĐŽǀĞƌLJĞĨĨŽƌƚƐĂŶĚ ĐůŝŶŝĐĂů ƚƌŝĂůƐ͖ ƚŚĞ ƉĂĐĞ ŽĨĞŶƌŽůůŵ |
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| April 1, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defi |
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| March 20, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defi |
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| March 11, 2024 |
Capricor Therapeutics, Inc. Policy on Recoupment of Incentive Compensation. * Exhibit 97 CAPRICOR THERAPEUTICS, INC. POLICY ON RECOUPMENT OF INCENTIVE COMPENSATION Introduction The Board of Directors (the “Board”) of Capricor Therapeutics, Inc. (the “Company”) has adopted this Policy on Recoupment of Incentive Compensation (this “Policy”), which provides for the recoupment of compensation in certain circumstances in the event of a restatement of financial results by the Com |
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| March 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K þ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAPRICO |
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| March 11, 2024 |
Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT LEGAL NAME JURISDICTION OF ORGANIZATION Capricor, Inc. Delaware |
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| March 11, 2024 |
Exhibit 4.1 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The authorized capital stock of Capricor Therapeutics, Inc. consists of 55,000,000 shares, consisting of 50,000,000 shares of common stock, $0.001 par value per share (the “common stock”) and 5,000,000 shares of preferred stock, $0.001 par value per share (the “preferred stoc |
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| February 29, 2024 |
Exhibit 99.1 Capricor Therapeutics Reports Fourth Quarter and Full Year 2023 Financial Results and Provides Corporate Update -Enrollment Complete in Cohort A of Phase 3, Pivotal, HOPE-3 Trial of CAP-1002 in Duchenne Muscular Dystrophy; Announced Successful Interim Futility Analysis; On Track to Report Top-Line Data in Q4 2024- -Upcoming Type-B Meeting with FDA in Q1 2024 to Discuss Commercial Manu |
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| February 29, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 29, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commi |
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| February 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 88-0363465 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) Capricor Therapeutics, Inc. 10865 Road to the Cure, Suite |
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| February 16, 2024 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Capricor Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(3) Maximum Aggregate Offering Price(3) Fee Rate Amount of Registration Fee Equity Common Stock |
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| February 7, 2024 |
SC 13G 1 p24-0662sc13g.htm CAPRICOR THERAPEUTICS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Capricor Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 14070B309 (CUSIP Number) December 31, 2023 (Date of event which requires filing of this statement |
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| January 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 11, 2024 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commis |
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| December 11, 2023 |
Exhibit 99.1 Capricor Therapeutics Announces Continuation of Phase 3 HOPE-3 Trial of CAP-1002 in Duchenne Muscular Dystrophy Based on Completion of Interim Futility Analysis -Favorable Interim Futility Analysis Results- -Successful Completion Triggers First Milestone Payment Under U.S. Agreement with Nippon Shinyaku- -HOPE-3 (Cohort A) Enrollment Complete; Topline Data Expected in the Fourth Quart |
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| December 11, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 11, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commi |
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| November 14, 2023 |
Exhibit 99.1 Capricor Therapeutics Reports Third Quarter 2023 Financial Results and Provides Corporate Update -Completed Targeted Enrollment for HOPE-3, the Phase 3 Trial of CAP-1002 in Duchenne Muscular Dystrophy- -On Track to Report Interim Futility Analysis in Fourth Quarter of 2023; Successful Outcome Would Trigger Milestone Payment to Capricor Under Commercialization and Distribution Deal wit |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-3405 |
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| November 14, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 14, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commi |
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| October 17, 2023 |
CAPR / Capricor Therapeutics Inc / Nippon Shinyaku Co Ltd - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Capricor Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 14070B309 (CUSIP Number) October 3, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| September 29, 2023 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated September 29, 2023 Relating to Prospectus dated June 16, 2021 Registration No. |
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| September 29, 2023 |
Form of Securities Purchase Agreement. Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September 29, 2023, between Capricor Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and co |
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| September 29, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 29, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Comm |
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| September 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 29, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Comm |
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| September 29, 2023 |
4,935,621 Shares of Common Stock Warrants to Purchase up to 4,935,621 Shares of Common Stock Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-254363 PROSPECTUS SUPPLEMENT (to Prospectus dated June 16, 2021) 4,935,621 Shares of Common Stock Warrants to Purchase up to 4,935,621 Shares of Common Stock We are offering 4,935,621 shares of our common stock, warrants to purchase up to 4,935,621 shares of our common stock (the “Warrants”), and the shares of common stock tha |
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| September 29, 2023 |
Capricor Therapeutics Announces $23 Million Registered Direct Offering Exhibit 99.1 Capricor Therapeutics Announces $23 Million Registered Direct Offering SAN DIEGO, Calif., September 29, 2023 (GLOBE NEWSWIRE) - Capricor Therapeutics (NASDAQ: CAPR), a biotechnology company focused on the development of transformative cell and exosome-based therapeutics for the treatment and prevention of muscular and other select diseases, today announced that it has entered into def |
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| September 29, 2023 |
Exhibit 99.1 Capricor Therapeutics Announces Positive Type-B Meeting with the FDA to Discuss Pathway to BLA for CAP-1002 in Duchenne Muscular Dystrophy -FDA Feedback on the Proposed Key Clinical and Regulatory Requirements Confirms CAP-1002’s Path Towards a Biologics License Application (BLA)- -Company On Track to Complete HOPE-3 Enrollment and Report Outcome from Interim Analysis in Q4 2023- -Con |
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| September 29, 2023 |
Exhibit 4.1 COMMON STOCK PURCHASE WARRANT CAPRICOR THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: April 3, 2024 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after April 3, 2024 (the “ |
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| September 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 1, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commi |
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| September 6, 2023 |
Capricor Therapeutics Appoints Michael Kelliher to Board of Directors Exhibit 99.1 Capricor Therapeutics Appoints Michael Kelliher to Board of Directors SAN DIEGO, Calif., Sept. 6, 2023 (GLOBE NEWSWIRE) - Capricor Therapeutics (NASDAQ: CAPR), a biotechnology company focused on the development of transformative cell and exosome-based therapeutics for the treatment and prevention of muscular and other select diseases, today announced that the Company has appointed Mic |
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| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAP |
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| August 7, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 7, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| August 7, 2023 |
Exhibit 99.1 Capricor Therapeutics Reports Second Quarter 2023 Financial Results and Provides Corporate Update -Presented Statistically Significant 24-Month HOPE-2 Open Label Extension Data at the PPMD Annual Conference- -Enrollment Continues to Progress in HOPE-3, the Phase 3 Trial of CAP-1002 in Duchenne Muscular Dystrophy; On Track to Complete Enrollment and Report Interim Analysis in Fourth Qu |
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| July 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 21, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| July 24, 2023 |
Capricor Therapeutics Announces Appointment of Philip J. Gotwals, Ph.D. to its Board of Directors Exhibit 99.1 Capricor Therapeutics Announces Appointment of Philip J. Gotwals, Ph.D. to its Board of Directors SAN DIEGO, Calif., July 24, 2023 (GLOBE NEWSWIRE) - Capricor Therapeutics (NASDAQ: CAPR), a biotechnology company focused on the development of transformative cell and exosome-based therapeutics for the treatment and prevention of muscular and other select diseases, today announced the ap |
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| July 13, 2023 |
Exhibit 99.1 Capricor Therapeutics Announces Appointment of Paul Auwaerter, M.D. to its Board of Directors -John Hopkins School of Medicine Clinical Director Joins Capricor’s Board of Directors with over 30 Years of Internal Medicine and Infectious Disease Experience- SAN DIEGO, Calif., July 13, 2023 (GLOBE NEWSWIRE) - Capricor Therapeutics (NASDAQ: CAPR), a biotechnology company focused on the de |
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| July 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 11, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| June 15, 2023 |
Certificate of Correction of Certificate of Incorporation of Capricor Therapeutics, Inc Exhibit 3.1 CERTIFICATE OF CORRECTION OF THE CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF CAPRICOR THERAPEUTICS, INC. Capricor Therapeutics, Inc. (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (the “DGCL”), does hereby certify that: FIRST: The name of the Corporation is Capricor Therapeutics, Inc. SECOND: A Certif |
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| June 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 12, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incor |
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| June 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 12, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incor |
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| June 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 12, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| June 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 12, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| June 13, 2023 |
Certificate of Amendment of Certificate of Incorporation of Capricor Therapeutics, Inc. Exhibit 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF CAPRICOR THERAPEUTICS, INC. Capricor Therapeutics, Inc. (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (the “DGCL”), does hereby certify that: FIRST: The name of the Corporation is Capricor Therapeutics, Inc. SECOND: The original Certificate of Incorporation |
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| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CA |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 11, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 11, 2023 |
Exhibit 99.1 Capricor Therapeutics Reports First Quarter 2023 Financial Results and Provides Corporate Update -Enrollment Continues to Progress in HOPE-3, the Phase 3 Clinical Trial of CAP-1002 in Duchenne Muscular Dystrophy (DMD); On Track to Report Interim Analysis in Fourth Quarter of 2023- -Plan to Present 24-Month HOPE-2 Open Label Extension Data in Second Quarter of 2023- -To Host Conference |
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| April 17, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defi |
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| April 7, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defi |
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| March 17, 2023 |
Description of the Company’s Common Stock, par value $0.001 per share.* Exhibit 4.1 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The authorized capital stock of Capricor Therapeutics, Inc. consists of 55,000,000 shares, consisting of 50,000,000 shares of common stock, $0.001 par value per share (the “common stock”) and 5,000,000 shares of preferred stock, $0.001 par value per share (the “preferred stoc |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K þ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2022 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAPRICO |
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| March 17, 2023 |
Exhibit 10.55 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. COMMERCIALIZATION AND DISTRIBUTION AGREEMENT This Commercialization and Distribution Agreement (“Agreement”) is made and entered into as of the 10th day of February, 2023 (“Effective Date”), by and between CAPRICOR THERAPEUT |
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| March 17, 2023 |
Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT LEGAL NAME JURISDICTION OF ORGANIZATION Capricor, Inc. Delaware |
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| March 15, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 15, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| March 15, 2023 |
Exhibit 99.1 Capricor Therapeutics Reports Fourth Quarter and Full Year 2022 Financial Results and Provides Corporate Update -Enrollment Continues to Progress in HOPE-3, the Phase 3 Clinical Trial of CAP-1002 in Duchenne Muscular Dystrophy (DMD); Plan to Report on Interim Analysis in Q4 2023- -Held Type-B CMC Meeting with U.S. Food and Drug Administration (FDA) Regarding Pathway Towards Biologics |
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| February 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 10, 2023 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commi |
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| February 16, 2023 |
Exhibit 99.1 Capricor Therapeutics and Nippon Shinyaku Enter Partnership for Exclusive Commercialization and Distribution of CAP-1002 for the Treatment of Duchenne Muscular Dystrophy in Japan -Expands Partnership with Nippon Shinyaku to Japan to Leverage Deep Experience in Drug Development for Rare Diseases and Commercial DMD Franchise- -Capricor to Receive an Upfront Payment of $12 Million, Addit |
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| January 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 88-0363465 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) Capricor Therapeutics, Inc. 10865 Road to the Cure, Suite |
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| January 31, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Capricor Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(3) Maximum Aggregate Offering Price(3) Fee Rate Amount of Registration Fee Equity Common Stock |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2022 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-3405 |
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| November 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K ? CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported) ? November 10, 2022 ? CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) ? ? ? Delaware 001-34058 88-0363465 (State or other jurisdiction of i |
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| November 10, 2022 |
? Exhibit 99.1 ? Capricor Therapeutics Reports Third Quarter 2022 Financial Results and Provides Corporate Update ? -Enrollment Continues to Progress in HOPE-3, the Pivotal Phase 3 Clinical Trial of CAP-1002 in Duchenne Muscular Dystrophy- ? -Presented Positive One-Year Safety and Efficacy Results From HOPE-2 Open Label Extension Study of CAP-1002 in Duchenne Muscular Dystrophy Patients at World M |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 10, 2022 |
? Exhibit 99.1 ? Capricor Therapeutics Reports Second Quarter 2022 Financial Results and Provides Corporate Update ? -First Patient Treated in HOPE-3, the Pivotal Phase 3 Clinical Trial of CAP-1002 in Duchenne Muscular Dystrophy- ? -Positive One-Year Safety and Efficacy Results From HOPE-2 Open Label Extension Study of CAP-1002 in Non-Ambulant Duchenne Muscular Dystrophy Patients Presented at PPMD |
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| August 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K ? CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported) ? August 10, 2022 ? CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) ? ? ? Delaware 001-34058 88-0363465 (State or other jurisdiction of inc |
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| July 19, 2022 |
Exhibit 99.1 Capricor Therapeutics Announces First Patient Dosed in Pivotal Phase 3 Study of CAP-1002 for the Treatment of Duchenne Muscular Dystrophy -Double-Blind, Randomized, Placebo-Controlled HOPE-3 Clinical Trial Designed to Enroll approximately 70 Patients- -HOPE-3 Builds on Positive Data Results from HOPE-2 Study Recently Published in The Lancet- SAN DIEGO, Calif., July 19, 2022 - Capricor |
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| July 19, 2022 |
Financial Statements and Exhibits, Other Events ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K ? CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported) ? July 19, 2022 ? CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) ? ? ? Delaware 001-34058 88-0363465 (State or other jurisdiction of incor |
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| June 29, 2022 |
Exhibit 99.1 HOPE - 2 Open Label Extension (1 - Year Data Results) Trial conducted by Capricor National PI: Craig McDonald, M.D. (UC Davis) NASDAQ:CAPR Developing Transformative Therapiesfrom Bench to BedsideCapricorTherapeutics, Inc. Forward Looking Statements Statementsinthispresentationregardingtheefficacy,safety,andintendedutilizationofCapricor'sproductcandidates;theinitiation,conduct,size,tim |
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| June 29, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 27, 2022 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| June 7, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 3, 2022 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 10, 2022 |
? Exhibit 99.1 ? Capricor Therapeutics Reports First Quarter 2022 Financial Results and Provides Corporate Update ? -Executed Partnership with Nippon Shinyaku for the Commercialization and Distribution of CAP-1002 for Duchenne Muscular Dystrophy in the United States- ? -Upfront Payment of $30.0 Million Received in 1st Quarter Strengthens Cash Position and Extends Cash Runway- ? Positive Phase 2 Re |
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| May 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K ? CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported) ? May 10, 2022 ? CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) ? ? ? Delaware 001-34058 88-0363465 (State or other jurisdiction of incorp |
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| April 12, 2022 |
DEF 14A 1 tmb-20220603xdef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by |
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| April 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 31, 2022 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| March 11, 2022 |
Exhibit 10.55 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. COMMERCIALIZATION AND DISTRIBUTION AGREEMENT This Commercialization and Distribution Agreement (?Agreement?) is made and entered into as of the 25th day of January, 2022 (?Effective Date?), by and between CAPRICOR THERAPEUTI |
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| March 11, 2022 |
Exhibit 21.1 ? SUBSIDIARIES OF THE REGISTRANT ? LEGAL NAME JURISDICTION OF ORGANIZATION Capricor, Inc. Delaware ? |
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| March 11, 2022 |
Exhibit 10.54 *Portions of the exhibit have been excluded because it is both not material and is the type of information that the registrant treats as private or confidential. STANDARD INDUSTRIAL/COMMERCIAL MULTI-TENANT LEASE NET 1.Basic Provisions ("Basic Provisions"). 1.1Parties. This Lease ("Lease"), dated for reference purposes only July 16, 2021, is made by and between Altman Investment Compa |
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| March 11, 2022 |
Description of the Company’s Common Stock, par value $0.001 per share.* Exhibit 4.1 ? DESCRIPTION OF REGISTRANT?S SECURITIES ? REGISTERED PURSUANT TO SECTION 12 OF THE ? SECURITIES EXCHANGE ACT OF 1934 ? The authorized capital stock of Capricor Therapeutics, Inc. consists of 55,000,000 shares, consisting of 50,000,000 shares of common stock, $0.001 par value per share (the ?common stock?) and 5,000,000 shares of preferred stock, $0.001 par value per share (the ?prefer |
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| March 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K ? CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported) ? March 10, 2022 ? CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) ? ? ? Delaware 001-34058 88-0363465 (State or other jurisdiction of inco |
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| March 10, 2022 |
Exhibit 99.1 ? Capricor Therapeutics Reports Fourth Quarter and Full Year 2021 Financial Results and Provides Corporate Update ? CAP-1002 Cell Therapy Programs -Pivotal Phase 3, HOPE-3 Trial Initiation Underway- -Entered Exclusive Partnership with Nippon Shinyaku for Commercialization and Distribution of CAP-1002 for Duchenne Muscular Dystrophy in United States- -Capricor to Receive Upfront Paymen |
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| February 17, 2022 |
Exhibit 107.1 ? Calculation of Filing Fee Tables ? Form S-8 (Form Type) ? ? Capricor Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) ? Table 1: Newly Registered Securities ? Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(3) Maximum Aggregate Offering Price(3) Fee Rate Amount of Registration Fee Equity |
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| February 17, 2022 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter) ? Delaware 88-0363465 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) ? Capricor Therapeutics, Inc. 8840 Wilshire Blvd., |
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| January 25, 2022 |
Exhibit 99.1 ? ? ? Capricor Therapeutics and Nippon Shinyaku Enter Partnership for Exclusive Commercialization and Distribution of CAP-1002 for the Treatment of Duchenne Muscular Dystrophy in the U.S. ? -Partnership Leverages Nippon Shinyaku?s Deep Experience in Drug Development for Rare Diseases and its Commercial DMD Franchise in the U.S.- -Capricor to Receive an Upfront Payment of $30 Million, |
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| January 25, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 24, 2022 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commis |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2021 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-3405 |
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| November 9, 2021 |
? Exhibit 99.1 ? Capricor Therapeutics Reports Third Quarter 2021 Financial Results and Provides Corporate Update ? CAP-1002 ? Capricor?s Cell Therapy Program for Duchenne Muscular Dystrophy -Phase 3 Pivotal Study Cleared to Proceed- -Presented Positive Phase 2 HOPE-2 Final Data at Late-Breaking Oral Presentation at the 2021 World Muscle Society Virtual Congress- -Met Primary Efficacy Endpoint of |
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| November 9, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K ? CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported) ? November 9, 2021 ? CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) ? ? ? Delaware 001-34058 88-0363465 (State or other jurisdiction of in |
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| September 24, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 24, 2021 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Comm |
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| September 24, 2021 |
Exhibit 99.2 HOPE - 2 Multi - center Randomised Clinical Trial of Intravenous Human Cardiosphere - Derived Cells for Late - Stage Duchenne Muscular Dystrophy Data Presentation 1 Year Final Results Craig McDonald, M.D., University of California, Davis Health Eduardo Marb?n, MD, PhD, Suzanne Hendrix, PhD, Nathaniel Hogan, PhD, Rachel Ruckdeschel Smith, PhD, Michelle Eagle, PhD, Richard S. Finkel, MD |
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| September 24, 2021 |
Exhibit 99.1 Capricor Therapeutics Announces Positive Final Data From its Phase 2 HOPE-2 Trial in Patients with Duchenne Muscular Dystrophy Treated with CAP-1002 ?Trial Met its Primary Efficacy Endpoint of Mid-level Performance of Upper Limb (PUL) v1.2 (p=0.01)? ?Additional Positive Endpoints of Full PUL v2.0 (p=0.04) and Cardiac Endpoint of Ejection Fraction (p=0.002)? ?One-Year Results Demonstra |
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| August 13, 2021 |
Exhibit 10.2 ? CAPRICOR THERAPEUTICS, INC. ? 2021 EQUITY INCENTIVE PLAN ? Capricor Therapeutics, Inc., a Delaware corporation (the ?Company?), sets forth herein the terms of this 2021 Equity Incentive Plan (the ?Plan?). ? 1.Purposes of the Plan. The purposes of this Plan are: ? ?to attract and retain the best available personnel for positions of substantial responsibility, ? ?to provide additional |
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| August 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 13, 2021 |
Exhibit 10.3 ? CAPRICOR THERAPEUTICS, INC. ? 2021 EQUITY INCENTIVE PLAN ? STOCK OPTION AGREEMENT ? Unless otherwise defined herein, the terms defined in the 2021 Equity Incentive Plan of Capricor Therapeutics, Inc. (the ?Plan?) shall have the same defined meanings in this Stock Option Agreement (the ?Agreement?). ? I. NOTICE OF STOCK OPTION GRANT ? Name: (?Participant?) ? The undersigned Participa |
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| August 13, 2021 |
? CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT HAVE BEEN OMITTED AND REPLACED WITH ?[***]?, SUCH IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE COMPANY IF DISCLOSED. |
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| August 12, 2021 |
? Exhibit 99.1 ? Capricor Therapeutics Reports Second Quarter 2021 Financial Results and Provides Corporate Update ? CAP-1002 ? Capricor?s Cell Therapy Program for Duchenne Muscular Dystrophy -Phase III Trial Protocol Submitted to FDA Following FDA Guidance- -Commencing Start-Up Activities for Pivotal Trial- -Phase II, HOPE-2 Final Data Submitted for Publication- ? CAP-1002 ? Capricor?s Cell Thera |
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| August 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ? FORM 8-K ? CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported) ? August 12, 2021 ? CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) ? ? ? Delaware 001-34058 88-0363465 (State or other jurisdiction of inc |
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| August 3, 2021 |
CAPR / Capricor Therapeutics Inc / FEINBERG LARRY N - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Amendment No. 1* (EXIT FILING) Under the Securities Exchange Act of 1934 CAPRICOR THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 14070B309 (CUSIP Number) July 28, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| July 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 23, 2021 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissio |
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| July 27, 2021 |
Capricor Therapeutics Announces the Appointment of Karimah Es Sabar to its Board of Directors ? Exhibit 99.1 ? Capricor Therapeutics Announces the Appointment of Karimah Es Sabar to its Board of Directors LOS ANGELES, Calif., July 27, 2021 ? Capricor Therapeutics (?Capricor? or ?the Company?) (NASDAQ: CAPR), a biotechnology company focused on developing transformative cell and exosome-based therapeutics for treating and preventing a broad spectrum of diseases, today announced the appointme |
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| June 21, 2021 |
Common Stock CAPRICOR THERAPEUTICS, INC. 424B5 1 tm2120106d1424b5seq1.htm 424B5 PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To Prospectus dated June 16, 2021) Registration No. 333-254363 $75,000,000 Common Stock CAPRICOR THERAPEUTICS, INC. Capricor Therapeutics, Inc. has entered into a Common Stock Sales Agreement, or the Sales Agreement, with H.C. Wainwright & Co. LLC, or Wainwright, relating to the sale of shares of our com |
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| June 21, 2021 |
Financial Statements and Exhibits, Other Events 8-K 1 tm2120104d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 21, 2021 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdic |
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| June 17, 2021 |
Submission of Matters to a Vote of Security Holders 8-K 1 tm2119963d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 11, 2021 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdic |
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| June 15, 2021 |
As filed with the Securities and Exchange Commission on June 14, 2021 As filed with the Securities and Exchange Commission on June 14, 2021 Registration No. |
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| June 15, 2021 |
CAPRICOR THERAPEUTICS, INC. 8840 Wilshire Blvd., 2nd Floor Beverly Hills, CA 90211 June 15, 2021 CAPRICOR THERAPEUTICS, INC. 8840 Wilshire Blvd., 2nd Floor Beverly Hills, CA 90211 June 15, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Kasey Robinson Division of Corporation Finance Re: Capricor Therapeutics, Inc. Registration Statement on Form S-3 Registration No. 333-254363 Ladies and Gentle |
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| June 14, 2021 |
CAPRICOR THERAPEUTICS, INC. 8840 Wilshire Blvd., 2nd Floor Beverly Hills, CA 90211 June 14, 2021 CORRESP 1 filename1.htm CAPRICOR THERAPEUTICS, INC. 8840 Wilshire Blvd., 2nd Floor Beverly Hills, CA 90211 June 14, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Kasey Robinson Division of Corporation Finance Re: Capricor Therapeutics, Inc. Registration Statement on Form S-3 Registration No. 333- |
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| May 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q 1 capr-20210331x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2021 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Co |
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| May 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 tm2116326d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 13, 2021 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdict |
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| May 13, 2021 |
Exhibit 99.1 Capricor Therapeutics Reports First Quarter 2021 Financial Results and Provides Corporate Update - -Requested Meeting with FDA to Discuss Next Steps in Development of CAP-1002 for Duchenne Muscular Dystrophy- -Data for Phase II INSPIRE Clinical Trial Expected in Third Quarter- -Plan to File IND for Multivalent Exosome-mRNA Vaccine for SARS-CoV-2 in Third Quarter- -To Host Conference C |
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| April 30, 2021 |
Exhibit 99.1 Capricor Therapeutics Signs Exclusive Worldwide License Agreement with Johns Hopkins University to Expand its Exosome Platform Technology Portfolio -Portfolio Will Now Include Exclusive Rights to Engineered Exosomes for Vaccines and Therapeutics- LOS ANGELES, CALIF., April 29, 2021 – Capricor Therapeutics (NASDAQ: CAPR), a biotechnology company focused on the development of transforma |
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| April 30, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 28, 2021 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| April 20, 2021 |
our Definitive Proxy Statement on Schedule 14A, filed with the SEC on April 20, 2021; DEF 14A 1 tm212634d1def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rul |
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| March 16, 2021 |
S-3 1 tm219709d1s3.htm FORM S-3 As filed with the Securities and Exchange Commission on March 16, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 88-0363465 (State or other jurisdiction of inc |
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| March 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2020 or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAPRICOR THERAPEUTICS, IN |
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| March 15, 2021 |
Exhibit 4.1 DESCRIPTION OF REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The authorized capital stock of Capricor Therapeutics, Inc. consists of 55,000,000 shares, consisting of 50,000,000 shares of common stock, $0.001 par value per share (the ?common stock?) and 5,000,000 shares of preferred stock, $0.001 par value per share (the ?preferred stoc |
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| March 15, 2021 |
Exhibit 21.1 Subsidiaries of the Registrant Legal Name Jurisdiction of Organization Capricor, Inc. Delaware |
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| March 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 11, 2021 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| March 11, 2021 |
EX-99.1 2 tm219445d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Capricor Therapeutics Reports Fourth Quarter and Full Year 2020 Financial Results and Provides Corporate Update Exosomes Platform Technology -Pre-IND Meeting with FDA this Quarter to Discuss Multivalent Exosome-mRNA Vaccine- -Pipeline Expansion Underway Using Engineered Exosomes- Cell Therapy Program -In Discussions with FDA on Pathway to Ap |
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| March 11, 2021 |
Capricor Therapeutics, Inc. slide presentation dated March 11, 2021. Exhibit 99.2 Fourth Quarter Earnings Call Exosome-mRNA Platform Data Presentation March 11, 2021 NASDAQ: CAPR 1 Forward-Looking Statements Statements in this presentation regarding the efficacy, safety, and intended utilization of Capricor's product candidates; the initiation, conduct, size, timing and results of discovery efforts and clinical trials; the pace of enrollment of clinical trials; pla |
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| February 12, 2021 |
S-8 1 tm216462d1s8.htm FORM S-8 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 88-0363465 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) Capricor Therapeutics, In |
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| February 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 CAPRICOR THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 14070B309 (CUSIP Number) January 29, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| February 8, 2021 |
SCHEDULE 13G JOINT FILING AGREEMENT Exhibit 99.1 SCHEDULE 13G JOINT FILING AGREEMENT The undersigned hereby agree that this Schedule 13G (as so amended, the “Schedule 13G”) with respect to the common stock of Capricor Therapeutics, Inc. is, and any additional amendment thereto signed by each of the undersigned shall be, filed on behalf of each undersigned pursuant to and in accordance with the provisions of 13d-1(k) under the Securi |
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| November 13, 2020 |
EX-10.1 2 tm2029532d1ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 *Portions of this exhibit have been excluded because it both (i) is not material and (ii) would be competitively harmful if publicly disclosed. SEVENTH AMENDMENT TO EXCLUSIVE LICENSE AGREEMENT THIS SEVENTH AMENDMENT TO EXCLUSIVE LICENSE AGREEMENT (this “Exosomes Seventh Amendment”) is made and entered into as of August 20, 2020 (“Seventh Am |
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| November 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended September 30, 2020 or ? Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAPRICOR THERAPE |
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| November 12, 2020 |
Exhibit 99.1 Capricor Therapeutics Reports Third Quarter 2020 Financial Results and Provides Corporate Update Exosome Platform Technology -Announced Positive Preclinical Data for Multivalent Exosome-mRNA Vaccine For COVID-19- -Novel Vaccine Induced Long-Lasting Immunity to Multiple SARS-CoV-2 Proteins- -Development of Safe, Non-toxic Exosome Formulation Capable of Delivering Functional mRNA in vit |
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| November 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 12, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commi |
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| November 9, 2020 |
Results of Operations and Financial Condition, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 9, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commis |
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| November 9, 2020 |
Exhibit 99.1 Capricor Therapeutics Announces Positive Preclinical Data for Multivalent Exosome-mRNA Vaccine For COVID-19 Potential Vaccine Candidate Employs Novel Exosome-Based mRNA Delivery Platform that Induces Long-Lasting Immunity to Multiple SARS-CoV-2 Proteins Capricor Scheduling Pre-IND Meeting with FDA to Discuss Clinical Strategy LOS ANGELES, CALIF., Nov. 9, 2020 – Capricor Therapeutics, |
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| August 25, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 19, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commiss |
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| August 25, 2020 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE BYLAWS OF CAPRICOR THERAPEUTICS, INC. The undersigned, Anthony Bergmann, hereby certifies that: 1. He is the duly elected, qualified, and acting Chief Financial Officer of Capricor Therapeutics, Inc., a Delaware corporation formerly known as SMI Products, Inc. (the “Corporation”). 2. The Bylaws of the Corporation (the “Bylaws”) were amended, effective Au |
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| August 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended June 30, 2020 or ¨ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAPRICOR THERAPEUTICS |
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| August 6, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 6, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| August 6, 2020 |
Exhibit 99.1 Capricor Therapeutics Reports Second Quarter 2020 Financial Results and Provides Corporate Update Exosome Platform for COVID-19 -Novel Multivalent Exosome mRNA and VLP Vaccine Candidates Underway in Animal Studies- -Preclinical Data Shows Positive Antibody Response- CAP-1002 for COVID-19 -Expanded Access Emergency Use Series Published in Peer Reviewed Journal- -Randomized, Double-Blin |
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| June 17, 2020 |
Exhibit 4.9 CAPRICOR THERAPEUTICS, INC. 2020 EQUITY INCENTIVE PLAN Capricor Therapeutics, Inc., a Delaware corporation (the “Company”), sets forth herein the terms of this 2020 Equity Incentive Plan (the “Plan”). 1. Purposes of the Plan. The purposes of this Plan are: · to attract and retain the best available personnel for positions of substantial responsibility, · to provide additional incentive |
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| June 17, 2020 |
Exhibit 4.10 CAPRICOR THERAPEUTICS, INC. 2020 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT Unless otherwise defined herein, the terms defined in the 2020 Equity Incentive Plan of Capricor Therapeutics, Inc. (the “Plan”) shall have the same defined meanings in this Stock Option Agreement (the “Agreement”). I. NOTICE OF STOCK OPTION GRANT Name: (“Participant”) The undersigned Participant has been gr |
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| June 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter) Delaware 88-0363465 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) Capricor Therapeutics, Inc. 8840 Wilshire Blvd., 2nd Floo |
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| June 9, 2020 |
Submission of Matters to a Vote of Security Holders 8-K 1 tm2022127d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 5, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdict |
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| May 28, 2020 |
Capricor Therapeutics, Inc. slide presentation dated May 28, 2020. Exhibit 99.1 |
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| May 28, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 28, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 19, 2020 |
Filed pursuant to Rule 424(b)(3) Registration Statement No. 333-238088 PROSPECTUS CAPRICOR THERAPEUTICS, INC. 4,200,000 Shares of Common STOCK ISSUABLE UPON EXERCISE OF OUTSTANDING WARRANTS This prospectus (this “Resale Prospectus”) relates to the resale by the selling stockholders named herein, including their respective transferees, donees, pledgees or other successors in interest identified in |
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| May 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q þ Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2020 or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAPRICOR THERAPEUTIC |
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| May 15, 2020 |
Capricor Q1 Earnings Call and Corporate Update 1 May 14, 2020 Earnings Call NASDAQ: CAPR Exhibit 99.1 Capricor Q1 Earnings Call and Corporate Update 1 May 14, 2020 Earnings Call NASDAQ: CAPR Capricor Therapeutics, Inc. Developing Transformative Therapies from Bench to Bedside Forward - Looking Statements 2 Statements in this presentation regarding the efficacy, safety, and intended utilization of Capricor's product candidates ; the initiation, conduct, size, timing and results of disc |
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| May 15, 2020 |
CAPRICOR THERAPEUTICS, INC. 8840 Wilshire Blvd., 2nd Floor Beverly Hills, CA 90211 May 15, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Ms. Ada Sarmento Division of Corporation Finance Re: Capricor Therapeutics, Inc. Registration Statement on Form S-3 Registration No. 333-238088 Ladies and Gentl |
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| May 15, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 14, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 15, 2020 |
Exhibit 4.1 THIS SECURITY HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR PURSUANT TO AN AVAI |
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| May 15, 2020 |
Exhibit 4.2 THIS SECURITY HAS NOT BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OR PURSUANT TO AN AVAI |
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| May 14, 2020 |
EX-99.1 2 tm2019802d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Capricor Therapeutics Reports First Quarter 2020 Financial Results and Provides Corporate Update Duchenne Muscular Dystrophy Program -Final Top-Line 12-month Results from Phase II Randomized, Double-blind, Placebo-controlled HOPE-2- Study Demonstrated Improved Performance of Upper Limb (PUL) 2.0 (p=0.05)- COVID-19 Program -COVID-19 Compassi |
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| May 14, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 14, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 13, 2020 |
Financial Statements and Exhibits, Other Events 8-K 1 tm2019534d18k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 13, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction o |
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| May 13, 2020 |
Exhibit 99.1 Capricor Announces Positive Top-Line Final Results from HOPE-2 Study in Patients with Duchenne Muscular Dystrophy Treated with Lead Candidate CAP-1002 -One-Year Results from Randomized, Double-Blind, Placebo-Controlled Study Demonstrate Improved Performance of Upper Limb (PUL) 2.0 (p=0.05)- -First Ever Study in DMD that Correlates Stabilization in Cardiac Function with a Reduction in |
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| May 13, 2020 |
Exhibit 99.1 A Study of CAP - 1002 in Ambulatory and Non - Ambulatory Patients with Duchenne Muscular Dystrophy [HOPE - 2] 12 - month Top - Line Final Study Results 1 May 13, 2020 Conference Call NASDAQ: CAPR Capricor Therapeutics, Inc. Developing Transformative Therapies from Bench to Bedside Forward - Looking Statements 2 Statements in this presentation regarding the efficacy, safety, and intend |
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| May 13, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 13, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 7, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission |
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| May 7, 2020 |
As filed with the Securities and Exchange Commission on May 7, 2020 Registration No. |
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| May 4, 2020 |
Exhibit 99.1 New Capricor Data Reports 100 Percent Survival in Critical COVID-19 Patients Treated with CAP-1002 -U.S. FDA Approves Company’s Expanded Access Protocol to Treat Additional Patients- LOS ANGELES, Calif. April 29, 2020 - Capricor Therapeutics (“Capricor”) (NASDAQ: CAPR) a clinical-stage biotechnology company focused on the development of first-in-class biological therapeutics for the t |
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| May 4, 2020 |
Common Stock CAPRICOR THERAPEUTICS, INC. PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(5) (To Prospectus dated July 18, 2019) Registration No. |
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| May 4, 2020 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 29, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| April 17, 2020 |
Definitive Proxy Statement on Schedule 14A, filed with the SEC on April 17, 2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy State |
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| March 27, 2020 |
Exhibit 21.1 Subsidiaries of the Registrant Legal Name Jurisdiction of Organization Capricor, Inc. Delaware |
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| March 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K þ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2019 or o Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to Commission File Number: 001-34058 CAPRICOR THERAPEUTICS, IN |
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| March 27, 2020 |
Description of the Company’s Common Stock, par value $0.001 per share.* Exhibit 4.1 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The authorized capital stock of Capricor Therapeutics, Inc. consists of 55,000,000 shares, consisting of 50,000,000 shares of common stock, $0.001 par value per share (the “common stock”) and 5,000,000 shares of preferred stock, $0.001 par value per share (the “preferred stoc |
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| March 26, 2020 |
Exhibit 10.1 CAPRICOR THERAPEUTICS, INC. March 25, 2020 Holder of Common Stock Purchase Warrant Re: Inducement Offer to Exercise Common Stock Purchase Warrants Dear Holder: Capricor Therapeutics, Inc. (the “Company”) is pleased to offer to you the opportunity to exercise all of the Common Stock Purchase Warrants issued on December 19, 2019 set forth on the signature page hereto (the “Existing Warr |
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| March 26, 2020 |
8-K 1 tm2013873d18k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 25, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction |
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| March 18, 2020 |
Exhibit 99.1 Capricor Therapeutics Reports Fourth Quarter and Full Year 2019 Financial Results and Provides Corporate Update -To Report Final 12-month HOPE-2 Data in the Second Quarter- -Exosomes Platform Technology Expanded to Potentially Combat the Novel Coronavirus- -To Host Conference Call and Webcast Today at 4:30 p.m. ET- LOS ANGELES, March 18, 2020 – Capricor Therapeutics (NASDAQ: CAPR), a |
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| March 18, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 18, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| March 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 13, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi |
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| March 11, 2020 |
Exhibit 99.1 Capricor Therapeutics, Inc. Developing Transformative Therapies from Bench to Bedside NASDAQ : CAPR Corporate & Investor Presentation March 2020 Capricor Therapeutics, Inc. Developing Transformative Therapies from Bench to Bedside Forward - Looking Statements 2 Statements in this presentation regarding the efficacy, safety, and intended utilization of Capricor's product candidates ; t |
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| March 11, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 tm2012337d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 10, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdi |
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| February 18, 2020 |
8-K 1 tm208031d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 12, 2020 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other juris |
