CAPR / Capricor Therapeutics, Inc. - SEC-Einreichungen, Jahresbericht, Proxy Statement

variable UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

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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 12, 2026 CAPRICOR THERAPEUTICS

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 12, 2026 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission

Capricor Therapeutics Reports First Quarter 2026 Financial Results and Provides Corporate Update

Exhibit 99.1 Capricor Therapeutics Reports First Quarter 2026 Financial Results and Provides Corporate Update ● Deramiocel BLA under active FDA review; PDUFA target action date of August 22, 2026; labeling discussions expected to commence soon ● HOPE-3 Phase 3 trial met its primary endpoint (PUL v2.0; upper limb function) and all Type I error-controlled secondary endpoints ● GMP manufacturing faci

3 medicine and to find a way to make people’s lives better and longer. She earned her Ph.D. in physiology from Case Western Reserve University, then went to Johns Hopkins University as a postdoctoral fellow in cardiovascular physiology, where she stu

Exhibit 99.2 3 medicine and to find a way to make people’s lives better and longer. She earned her Ph.D. in physiology from Case Western Reserve University, then went to Johns Hopkins University as a postdoctoral fellow in cardiovascular physiology, where she studied what causes heart disease and how it might be better treated. 4. While at Johns Hopkins, Dr. Marbán was recruited to a gene therapy

Capricor Therapeutics Takes Legal Action to Protect Patient Access to Deramiocel for Duchenne Muscular Dystrophy

Exhibit 99.1 Capricor Therapeutics Takes Legal Action to Protect Patient Access to Deramiocel for Duchenne Muscular Dystrophy -Complaint outlines its distribution partner’s failure to prepare for launch of DMD therapy; Capricor seeks to rescind the agreement while advancing plans to ensure treatment reaches patients- SAN DIEGO, May 7, 2026 - Capricor Therapeutics, Inc. (NASDAQ: CAPR), a biotechnol

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, 2026 CAPRICOR THERAPEUTICS,

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, 2026 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commission

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

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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NOTICE OF ANNUAL MEETING OF STOCKHOLDERS To Be Held on June 4, 2026 Dear Stockholders of Capricor Therapeutics, Inc.

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

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

CAPRICOR THERAPEUTICS, INC. INSIDER TRADING POLICY (AMENDED FEBRUARY 20, 2025)

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

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, 2025 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

DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934

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

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 12, 2026 CAPRICOR THERAPEUTI

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 12, 2026 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi

Capricor Therapeutics Reports Fourth Quarter and Full Year 2025 Financial Results and Provides Corporate Update

Exhibit 99.1 Capricor Therapeutics Reports Fourth Quarter and Full Year 2025 Financial Results and Provides Corporate Update ● Deramiocel BLA for Duchenne muscular dystrophy under U.S. FDA review with PDUFA target action date of August 22, 2026 ● Pivotal HOPE-3 Phase 3 trial achieved primary endpoint (PUL v2.0) and key secondary cardiac endpoint (LVEF) ● Late-breaking HOPE-3 data presented at MDA

Capricor Therapeutics Announces Establishment of New PDUFA Date for Deramiocel BLA

Exhibit 99.1 Capricor Therapeutics Announces Establishment of New PDUFA Date for Deramiocel BLA ● Deramiocel has the potential to become the first therapy to address both skeletal and cardiac manifestations of Duchenne muscular dystrophy ● BLA supported by positive pivotal HOPE-3 Phase 3 results, including achievement of the primary endpoint and all Type I error-controlled secondary endpoints ● PD

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, 2026 CAPRICOR THERAPEUTI

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, 2026 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter)

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

Table 1: Newly Registered Securities

Calculation of Filing Fee Tables S-8 CAPRICOR THERAPEUTICS, INC. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee 1 Equity Common Stock, par value $0.001 per share Other 2,868,420 $ 22.63 $ 64,912,344.60 0.0001381 $ 8,964.39 Tot

CAPRICOR THERAPEUTICS, INC. (a Delaware corporation) 6,000,000 Shares of Common Stock UNDERWRITING AGREEMENT

Exhibit 1.1 CAPRICOR THERAPEUTICS, INC. (a Delaware corporation) 6,000,000 Shares of Common Stock UNDERWRITING AGREEMENT Dated: December 5, 2025 CAPRICOR THERAPEUTICS, INC. (a Delaware corporation) 6,000,000 Shares of Common Stock UNDERWRITING AGREEMENT December 5, 2025 PIPER SANDLER & CO. OPPENHEIMER & CO. INC. as Representatives of the several Underwriters c/o PIPER SANDLER & CO. 350 North 5th S

Capricor Therapeutics Announces Pricing of $150 Million Public Offering of Common Stock

Exhibit 99.1 Capricor Therapeutics Announces Pricing of $150 Million Public Offering of Common Stock SAN DIEGO, Dec. 5, 2025 (GLOBE NEWSWIRE) - Capricor Therapeutics, Inc. (NASDAQ: CAPR), a biotechnology company developing transformative cell and exosome-based therapeutics, today announced the pricing of its underwritten public offering of 6,000,000 shares of common stock at a public offering pric

Security Type

Calculation of Filing Fee Tables S-3 CAPRICOR THERAPEUTICS, INC. Table 1: Newly Registered and Carry Forward Securities ☑Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward

PROSPECTUS SUPPLEMENT NO. 1 TO PROSPECTUS DATED SEPTEMBER 23, 2025

Filed Pursuant to Rule 424(b)(3) Registration No. 333-290179 PROSPECTUS SUPPLEMENT NO. 1 TO PROSPECTUS DATED SEPTEMBER 23, 2025 This Prospectus Supplement No. 1 supplements and amends the prospectus dated September 23, 2025 (the “Prospectus”), covering the offering, issuance and sale of up to a maximum aggregate offering amount of $150,000,000 (the “Maximum Offering Amount”) of our common stock, p

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 5, 2025 CAPRICOR THERAPEU

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 5, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commis

Per Share

TABLE OF CONTENTS  Filed pursuant to Rule 424(b)(5)  Registration No. 333-290179 Prospectus Supplement (To Prospectus dated September 23, 2025) 6,000,000 Shares of Common Stock We are offering 6,000,000 shares of our common stock 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 reported

Subject to completion, dated December 4, 2025

TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.

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 3, 2025 CAPRICOR THERAPEU

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 3, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commis

Capricor Therapeutics Announces Positive Topline Results from Pivotal Phase 3 HOPE-3 Study of Deramiocel in Duchenne Muscular Dystrophy

Exhibit 99.1 Capricor Therapeutics Announces Positive Topline Results from Pivotal Phase 3 HOPE-3 Study of Deramiocel in Duchenne Muscular Dystrophy ● Pivotal Phase 3 randomized, double-blind, placebo-controlled study (n=106) met the primary endpoint (PUL v2.0) and the key secondary cardiac endpoint (LVEF), both achieving statistical significance (p=0.03 and p=0.04, respectively) ● Statistical sig

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

Exhibit 99.1 1 Capricor Therapeutics, Inc. Nasdaq: CAPR December 3, 2025 HOPE-3 Phase 3 Study Topline Data Call 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 results of

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 3, 2025 CAPRICOR THERAPEU

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 3, 2025 CAPRICOR THERAPEUTICS, INC. (Exact name of Registrant as Specified in its Charter) Delaware 001-34058 88-0363465 (State or other jurisdiction of incorporation) (Commis

Capricor Therapeutics Reports Third Quarter 2025 Financial Results and Provides Corporate Update

Exhibit 99.1 Capricor Therapeutics Reports Third Quarter 2025 Financial Results and Provides Corporate Update ● Topline results from pivotal HOPE-3 Phase 3 study (n=105) of Deramiocel for the treatment of Duchenne muscular dystrophy expected in the coming weeks (Q4 2025) ● Pending the results of the topline data from the HOPE-3 study, the Company expects to resubmit its BLA, leveraging the data in

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, 2025 CAPRICOR THERAPE

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, 2025 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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EFFECT

X0101 EFFECT 33 LIVE 2025-09-23 17:00:00 S-3 0001133869 CAPRICOR THERAPEUTICS, INC. 333-290179

CAPRICOR THERAPEUTICS, INC. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 September 19, 2025

CAPRICOR THERAPEUTICS, INC. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 September 19, 2025 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. 333-290179 Ladies and Gen

LETTER

September 16, 2025 Karen G. Krasney, Esq. Executive Vice President and General Counsel Capricor Therapeutics, Inc. 10865 Road to the Cure, Suite 150 San Diego, CA 92121 Re: Capricor Therapeutics, Inc. Registration Statement on Form S-3 Filed September 10, 2025 File No. 333-290179 Dear Karen G. Krasney Esq.: This is to advise you that we have not reviewed and will not review your registration state

As filed with the Securities and Exchange Commission on September 10, 2025

As filed with the Securities and Exchange Commission on September 10, 2025 Registration No.

Security Type

Calculation of Filing Fee Tables S-3 CAPRICOR THERAPEUTICS, INC. Table 1: Newly Registered and Carry Forward Securities ☐Not Applicable Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward

CAPRICOR THERAPEUTICS, INC. EQUITY DISTRIBUTION AGREEMENT

Exhibit 1.2 *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. CAPRICOR THERAPEUTICS, INC. EQUITY DISTRIBUTION AGREEMENT September 10, 2025 PIPER SANDLER & CO. 350 North 5th Street, Suite 1000 Minneapolis, Minnesota 55401 OPPENHEIMER & CO. INC. 85 Broad Street, Floor 25 New York, New York

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 THERAPEUT

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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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

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

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

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 THERAPEUTIC

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

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

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

Filing Fee Table

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter)

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

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

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

Form of Restricted Stock Award Agreement for Capricor Therapeutics, Inc. 2021 Equity Incentive Plan.*

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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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

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

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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NOTICE OF ANNUAL MEETING OF STOCKHOLDERS To Be Held on May 22, 2025 Dear Stockholders of Capricor Therapeutics, Inc.

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 THERAPEUTIC

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

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

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

First Amendment to Restated and Amended Employment Agreement by and among Capricor Therapeutics, Inc., Capricor, Inc. and Anthony J. Bergmann, dated March 24, 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

Second Amendment to Lease, dated as of September 8, 2022, by and between Capricor, Inc. and Altman Investment Company, LLC.

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

First Amendment to Restated and Amended Employment Agreement by and among Capricor Therapeutics, Inc., Capricor, Inc. and Linda Marbán, dated March 24, 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

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

Sixth Amendment to Facilities Lease, dated as of July 31, 2022, by and between Capricor, Inc. and Cedars-Sinai Medical Center.

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

Fourth Amendment to Lease, dated as of February 26, 2025, by and between Capricor, Inc. and Altman Investment Company, LLC.

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

First Amendment to Restated and Amended Employment Agreement by and among Capricor Therapeutics, Inc., Capricor, Inc. and Karen G. Krasney, dated March 24, 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

List of Subsidiaries. *

Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT LEGAL NAME JURISDICTION OF ORGANIZATION Capricor, Inc. Delaware

First Amendment to Lease, dated as of June 8, 2022, by and between Capricor, Inc. and Altman Investment Company, LLC.

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

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

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

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

Amendment to Lease, dated as of August 10, 2023, by and between Capricor, Inc. and Altman Investment Company, LLC.

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

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

Capricor Therapeutics Reports Fourth Quarter and Full Year 2024 Financial Results and Provides Corporate Update

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

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

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

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 THERAPEUTIC

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

Filing Fee Table

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

EX-24

EX-24 2 PowerOfAttorney.txt EXHIBIT 24: POWER OF ATTORNEY POWER OF ATTORNEY The undersigned, BlackRock, Inc., a corporation duly organized under the laws of the State of Delaware, United States (the "Company"), does hereby make, constitute and appoint each of Eric Andruczyk, Richard Cundiff, R. Andrew Dickson, III, Spencer Fleming, Laura Hildner, David Maryles, Christopher Meade, Charles Park, Jam

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter)

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

EX-99

EX-99 3 ITEM7.txt EXHIBIT 99: ITEM 7 BlackRock Advisors, LLC Aperio Group, LLC BlackRock Asset Management Canada Limited BlackRock Investment Management (Australia) Limited BlackRock Fund Advisors BlackRock Institutional Trust Company, National Association BlackRock Financial Management, Inc. BlackRock Investment Management, LLC *Entity beneficially owns 5% or greater of the outstanding shares of

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 cardi

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

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 THERAPEUT

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

Seventh Amendment to Facilities Lease, dated as of September 26, 2023, by and between Capricor, Inc. and Cedars-Sinai Medical Center.*

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

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.

Term Sheet for Distribution of Deramiocel (CAP-1002) in Europe, by and between the Company and Nippon Shinyaku Co., Ltd.*+

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

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 THERAPE

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

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

CAPR / Capricor Therapeutics, Inc. / BlackRock, Inc. Passive Investment

us14070b3096111224.txt 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) September 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs

CAPR / Capricor Therapeutics, Inc. / HIGHBRIDGE CAPITAL MANAGEMENT LLC - CAPRICOR THERAPEUTICS, INC. Passive Investment

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

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

CAPR / Capricor Therapeutics, Inc. / BlackRock, Inc. Passive Investment

SC 13G 1 us14070b3096102424.txt us14070b3096102424.txt 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) September 30, 2024 - (Date of Event Which Requires Filing of this Statement) Check the appropriat

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.

Calculation of Registration Fee Table.*

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Capricor Therapeutics, Inc.

Regulation FD Disclosure, 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) 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

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

Underwriting Agreement, dated October 16, 2024, by and among Capricor Therapeutics, Inc., Piper Sandler & Co. and Oppenheimer & Co. Inc.

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

Narrative Disclosure

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.

Per Share

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

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

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 THERAPEU

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

Calculation of Registration Fee Table.*

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Capricor Therapeutics, Inc.

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.

SUBJECT TO COMPLETION, DATED OCTOBER 16, 2024

TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.

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

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; Ap

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

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

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

Capricor Therapeutics, Inc. Developing Transformative Therapies from Bench to Bedside 3 At Capricor, we stand committed to pushing the boundaries of possibility and forging a path toward transformative treatments for patients in need Capricor Therape

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

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 Discusse

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

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

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 we

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

Registration Rights Agreement, dated September 16, 2024, by and between the Company and Nippon Shinyaku Co., Ltd. (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K, filed with the SEC on 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

Letter of Intent, dated September 16, 2024, by and between the Company and Nippon Shinyaku Co., Ltd. (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K, filed with the SEC on 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

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, 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 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

Subscription Agreement, dated September 16, 2024, by and between the Company and Nippon Shinyaku Co., Ltd. (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed with the SEC on 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

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

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

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-

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

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 THERAPEUTI

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

LETTER

United States securities and exchange commission logo June 21, 2024 Linda Marb n Chief Executive Officer Capricor Therapeutics, Inc.

Calculation of Registration Fee Table.*

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Capricor Therapeutics, Inc.

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.

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

Certificate of Amendment of Certificate of Incorporation of the Company (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K, filed with the SEC on 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

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, 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, 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

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

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-

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

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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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 THERAPEUTI

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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NOTICE OF ANNUAL MEETING OF STOCKHOLDERS To Be Held on May 14, 2024 Dear Stockholders of Capricor Therapeutics, Inc.

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

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

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

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

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

List of Subsidiaries. *

Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT LEGAL NAME JURISDICTION OF ORGANIZATION Capricor, Inc. Delaware

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

Exhibit 4.1

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

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

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 Interi

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter)

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

Filing Fee Table

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

CAPR / Capricor Therapeutics, Inc. / HIGHBRIDGE CAPITAL MANAGEMENT LLC - CAPRICOR THERAPEUTICS, INC. Passive Investment

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

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 THERAPEU

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

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 Mi

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

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

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

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

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

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

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

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

Regulation FD Disclosure, 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) 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

Capricor Therapeutics, Inc.

Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated September 29, 2023 Relating to Prospectus dated June 16, 2021 Registration No.

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

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

Form of Warrant.

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 “

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 Biolo

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

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

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

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 THERAPE

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

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

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-

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

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

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 THERAPEUTIC

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

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

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 THERAPEUTIC

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

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 Experi

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

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

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

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

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

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

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 THERAPEUTIC

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

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 THERAPEUTIC

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

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

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

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 Anal

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

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

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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NOTICE OF ANNUAL MEETING OF STOCKHOLDERS To Be Held on June 12, 2023 Dear Stockholders of Capricor Therapeutics, Inc.

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

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

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

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

List of Subsidiaries. *

Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT LEGAL NAME JURISDICTION OF ORGANIZATION Capricor, Inc. Delaware

Japan Commercialization and Distribution Agreement, dated as of February 10, 2023, by and among Capricor Therapeutics, Inc., Capricor, Inc. and Nippon Shinyaku Co. Ltd. (incorporated by reference to Exhibit 10.55 to the Company’s Annual Report on Form 10-K, filed with the Commission on 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

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

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

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

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 o

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

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 THERAPE

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

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 Exp

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

Filing Fee Table

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter)

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

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

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

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

? 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

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

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

? 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

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

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

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

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

Developing Transformative Therapiesfrom Bench to BedsideCapricorTherapeutics, Inc. Forward Looking Statements Statementsinthispresentationregardingtheefficacy,safety,andintendedutilizationofCapricor'sproductcandidates;theinitiation,conduct,size,timin

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

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

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- -

? 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

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

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

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

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) 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

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K

Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

List of Subsidiaries. *

Exhibit 21.1 ? SUBSIDIARIES OF THE REGISTRANT ? LEGAL NAME JURISDICTION OF ORGANIZATION Capricor, Inc. Delaware ?

U.S. Commercialization and Distribution Agreement, dated as of January 25, 2022, by and among Capricor Therapeutics, Inc., Capricor, Inc. and Nippon Shinyaku Co. Ltd. (incorporated by reference to Exhibit 10.55 to the Company’s Annual Report on Form 10-K, filed with the Commission on 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

Standard Industrial/Commercial Multi-Tenant Lease, dated as of July 16, 2021, by and between Capricor Therapeutics, Inc. and Altman Investment Company, LLC (incorporated by reference to Exhibit 10.54 to the Company’s Annual Report on Form 10-K, filed with the Commission on 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

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

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

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 Capricor Therapeutics, Inc. (Exact name of Registrant as specified in its charter)

? ? 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.,

Filing Fee Table

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

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 Dev

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,

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

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

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

? 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

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

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)–

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

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 Eduar

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

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

Form of Stock Option Agreement for Capricor Therapeutics, Inc. 2021 Equity Incentive Plan (incorporated by reference to Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q, filed with the Commission on 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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q

Table of Contents ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.

Exclusive License Agreement, dated as of April 28, 2021, by and between Capricor, Inc. and Johns Hopkins University (incorporated by reference to Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q, filed with the Commission on 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.

Capricor Therapeutics, Inc. 2021 Equity Incentive Plan (incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q, filed with the Commission on 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

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- -Commencin

? 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

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

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

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

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 THERAPEUTIC

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

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

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

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

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

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.

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-

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

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 E

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

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

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

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-

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

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

LETTER

United States securities and exchange commission logo March 19, 2021 Linda Marb n Chief Executive Officer Capricor Therapeutics, Inc.

- FORM S-3

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

the description of our common stock contained in Exhibit 4.1 to our Annual Report on Form 10-K for the fiscal year ended December 31, 2020, filed with the SEC on March 15, 2021, including any amendment or report filed for the purpose of updating such description.

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

Annual Report - FORM 10-K

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

List of Subsidiaries. *

Exhibit 21.1 Subsidiaries of the Registrant Legal Name Jurisdiction of Organization Capricor, Inc. Delaware

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

Regulation FD Disclosure, 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 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

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 Under

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

- FORM S-8

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

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934

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

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