|
||||||||||||||||||||||||||
| SEC Info℠ | | | Home | | | Search | | | My Interests | | | Help | | | Sign In | | | Please Sign In | |||||||
|
||||||||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/27/20 Capricor Therapeutics, Inc. 10-K 12/31/19 57:5.3M Toppan Merrill/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 837K
2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 30K
3: EX-21.1 Subsidiaries List HTML 16K
4: EX-23.1 Consent of Experts or Counsel HTML 18K
5: EX-31.1 Certification -- §302 - SOA'02 HTML 22K
6: EX-31.2 Certification -- §302 - SOA'02 HTML 22K
7: EX-32.1 Certification -- §906 - SOA'02 HTML 18K
8: EX-32.2 Certification -- §906 - SOA'02 HTML 18K
54: R1 Document and Entity Information HTML 55K
32: R2 Consolidated Balance Sheets HTML 100K
26: R3 Consolidated Balance Sheets (Parenthetical) HTML 39K
39: R4 Consolidated Statements of Operations and HTML 62K
Comprehensive Loss
53: R5 Consolidated Statements of Changes in HTML 71K
Stockholders' Equity
31: R6 Consolidated Statements of Cash Flows HTML 89K
25: R7 Organization and Summary of Significant Accounting HTML 171K
Policies
38: R8 Stockholder's Equity HTML 29K
55: R9 Stock Awards, Warrants and Options HTML 216K
44: R10 Concentrations HTML 21K
50: R11 Government Grant Awards HTML 26K
37: R12 Commitments and Contingencies HTML 32K
21: R13 License Agreements HTML 46K
43: R14 Related Party Transactions HTML 28K
49: R15 Subsequent Events HTML 28K
36: R16 Organization and Summary of Significant Accounting HTML 228K
Policies (Policies)
20: R17 Organization and Summary of Significant Accounting HTML 127K
Policies (Tables)
45: R18 Stock Awards, Warrants and Options (Tables) HTML 222K
48: R19 Commitments and Contingencies (Tables) HTML 25K
30: R20 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 30K
POLICIES - Reconciliation of Cash, Cash
Equivalents, and Restricted Cash (Details)
23: R21 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 32K
POLICIES - Property and Equipment (Details)
41: R22 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 22K
POLICIES - Intangible Assets (Details)
57: R23 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 33K
POLICIES - Earnings (Loss) per share (Details)
29: R24 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 27K
POLICIES - Fair Value Measurements (Details)
22: R25 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 121K
POLICIES - Additional Information (Details)
40: R26 Stockholder's Equity (Details) HTML 100K
56: R27 STOCK AWARDS, WARRANTS AND OPTIONS - Warrants HTML 41K
(Details)
28: R28 STOCK AWARDS, WARRANTS AND OPTIONS - Assumptions HTML 34K
(Details)
24: R29 STOCK AWARDS, WARRANTS AND OPTIONS - Outstanding HTML 33K
Warrants (Details)
17: R30 STOCK AWARDS, WARRANTS AND OPTIONS - Stock-based HTML 26K
Compensation Expense (Details)
33: R31 STOCK AWARDS, WARRANTS AND OPTIONS - Stock options HTML 57K
outstanding and exercisable (Details)
51: R32 STOCK AWARDS, WARRANTS AND OPTIONS - Stock Option HTML 52K
Activity (Details)
46: R33 STOCK AWARDS, WARRANTS AND OPTIONS - Additional HTML 47K
Information (Details)
18: R34 Concentrations (Details) HTML 23K
34: R35 Government Grant Awards (Details) HTML 37K
52: R36 COMMITMENTS AND CONTINGENCIES - Future Minimum HTML 19K
Rental Payments (Details)
47: R37 COMMITMENTS AND CONTINGENCIES - Additional HTML 52K
Information (Details)
16: R38 License Agreements (Details) HTML 66K
35: R39 Related Party Transactions (Details) HTML 54K
27: R40 Subsequent Events (Details) HTML 59K
19: XML IDEA XML File -- Filing Summary XML 93K
15: EXCEL IDEA Workbook of Financial Reports XLSX 72K
9: EX-101.INS XBRL Instance -- capr-20191231 XML 1.41M
11: EX-101.CAL XBRL Calculations -- capr-20191231_cal XML 93K
12: EX-101.DEF XBRL Definitions -- capr-20191231_def XML 427K
13: EX-101.LAB XBRL Labels -- capr-20191231_lab XML 872K
14: EX-101.PRE XBRL Presentations -- capr-20191231_pre XML 696K
10: EX-101.SCH XBRL Schema -- capr-20191231 XSD 139K
42: ZIP XBRL Zipped Folder -- 0001104659-20-039272-xbrl Zip 131K
Exhibit 31.1
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER
I, Linda Marbán, Ph.D., certify that:
1. I have reviewed this Annual Report on Form 10-K of Capricor Therapeutics, Inc.;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
4. The registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:
a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting.
5. The registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.
Date: March 26, 2020
| /s/ Linda Marbán, Ph.D. |
| Name: Linda Marbán, Ph.D. |
Title: Chief Executive Officer and Principal Executive Officer |
C:
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 3/27/20 | |||
| 3/26/20 | 8-K | |||
| For Period end: | 12/31/19 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/12/21 Capricor Therapeutics, Inc. S-8 2/12/21 3:95K Toppan Merrill/FA |