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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/13/20 Capricor Therapeutics, Inc. 10-Q 9/30/20 55:4.4M Toppan Merrill/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 371K
2: EX-10.1 Material Contract HTML 37K
3: EX-31.1 Certification -- §302 - SOA'02 HTML 19K
4: EX-31.2 Certification -- §302 - SOA'02 HTML 19K
5: EX-32.1 Certification -- §906 - SOA'02 HTML 16K
6: EX-32.2 Certification -- §906 - SOA'02 HTML 16K
13: R1 Document and Entity Information HTML 50K
14: R2 Condensed Consolidated Balance Sheets HTML 98K
15: R3 Condensed Consolidated Balance Sheets HTML 36K
(Parenthetical)
16: R4 Condensed Consolidated Statements of Operations HTML 70K
and Comprehensive Loss
17: R5 Condensed Consolidated Statements of Changes in HTML 98K
Stockholders' Equity
18: R6 Condensed Consolidated Statements of Cash Flows HTML 86K
19: R7 Organization and Summary of Significant Accounting HTML 118K
Policies
20: R8 Note Payable HTML 22K
21: R9 Stockholder's Equity HTML 30K
22: R10 Stock Awards, Warrants and Options HTML 143K
23: R11 Concentrations HTML 19K
24: R12 Government Grant Awards HTML 23K
25: R13 Commitments and Contingencies HTML 31K
26: R14 License Agreements HTML 45K
27: R15 Related Party Transactions HTML 26K
28: R16 Subsequent Events HTML 20K
29: R17 Organization and Summary of Significant Accounting HTML 166K
Policies (Policies)
30: R18 Organization and Summary of Significant Accounting HTML 80K
Policies (Tables)
31: R19 Stock Awards, Warrants and Options (Tables) HTML 146K
32: R20 Commitments and Contingencies (Tables) HTML 25K
33: R21 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 27K
POLICIES - Reconciliation of Cash, Cash
Equivalents, and Restricted Cash (Details)
34: R22 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 29K
POLICIES - Property and Equipment (Details)
35: R23 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 21K
POLICIES - Intangible Assets (Details)
36: R24 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 25K
POLICIES - Fair Value Measurements (Details)
37: R25 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 86K
POLICIES - Additional Information (Details)
38: R26 Note Payable (Details) HTML 23K
39: R27 Stockholder's Equity (Details) HTML 148K
40: R28 STOCK AWARDS, WARRANTS AND OPTIONS - Warrants HTML 28K
(Details)
41: R29 STOCK AWARDS, WARRANTS AND OPTIONS - Outstanding HTML 37K
Warrants (Details)
42: R30 STOCK AWARDS, WARRANTS AND OPTIONS - Assumptions HTML 32K
(Details)
43: R31 STOCK AWARDS, WARRANTS AND OPTIONS - Stock-based HTML 25K
Compensation Expense (Details)
44: R32 STOCK AWARDS, WARRANTS AND OPTIONS - Stock Option HTML 56K
Activity (Details)
45: R33 STOCK AWARDS, WARRANTS AND OPTIONS - Additional HTML 69K
Information (Details)
46: R34 Concentrations (Details) HTML 22K
47: R35 Government Grant Awards (Details) HTML 25K
48: R36 COMMITMENTS AND CONTINGENCIES - Future Minimum HTML 21K
Rental Payments (Details)
49: R37 COMMITMENTS AND CONTINGENCIES - Additional HTML 60K
Information (Details)
50: R38 License Agreements (Details) HTML 67K
51: R39 Related Party Transactions (Details) HTML 55K
52: R40 Subsequent Events (Details) HTML 33K
54: XML IDEA XML File -- Filing Summary XML 92K
53: EXCEL IDEA Workbook of Financial Reports XLSX 82K
7: EX-101.INS XBRL Instance -- capr-20200930 XML 1.21M
9: EX-101.CAL XBRL Calculations -- capr-20200930_cal XML 89K
10: EX-101.DEF XBRL Definitions -- capr-20200930_def XML 418K
11: EX-101.LAB XBRL Labels -- capr-20200930_lab XML 873K
12: EX-101.PRE XBRL Presentations -- capr-20200930_pre XML 677K
8: EX-101.SCH XBRL Schema -- capr-20200930 XSD 136K
55: ZIP XBRL Zipped Folder -- 0001104659-20-125153-xbrl Zip 127K
Exhibit 31.2
CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER
I, Anthony J. Bergmann, certify that:
1. I have reviewed this Quarterly Report on Form 10-Q 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: November 13, 2020
| /s/ Anthony J. Bergmann | |
| Name: Anthony J. Bergmann | |
| Title: Chief Financial Officer and Principal Financial Officer |
C:
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 11/13/20 | None on these Dates | ||
| For Period end: | 9/30/20 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/11/24 Capricor Therapeutics, Inc. 10-K 12/31/23 58:7.2M Toppan Merrill Bridge/FA 3/17/23 Capricor Therapeutics, Inc. 10-K 12/31/22 58:7.3M Toppan Merrill Bridge/FA 3/11/22 Capricor Therapeutics, Inc. 10-K 12/31/21 59:7.3M Toppan Merrill Bridge/FA 3/15/21 Capricor Therapeutics, Inc. 10-K 12/31/20 58:5.3M Toppan Merrill/FA 2/12/21 Capricor Therapeutics, Inc. S-8 2/12/21 3:95K Toppan Merrill/FA |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 8/25/20 Capricor Therapeutics, Inc. 8-K:1,5,9 8/19/20 2:31K Toppan Merrill/FA 6/04/19 Capricor Therapeutics, Inc. 8-K:5,9 6/04/19 2:34K Toppan Merrill/FA 11/26/13 Capricor Therapeutics, Inc. 8-K:1,2,3,511/20/13 3:79K Toppan Merrill/FA 10/03/13 Capricor Therapeutics, Inc. 8-K:1,9 9/27/13 3:137K Toppan Merrill/FA 7/09/13 Capricor Therapeutics, Inc. 8-K:1,9 7/07/13 3:611K Toppan Merrill/FA 8/17/07 Capricor Therapeutics, Inc. 8-K:1,9 8/15/07 2:503K Toppan Merrill/FA 2/09/07 Capricor Therapeutics, Inc. 8-K:1,5,8,9 2/09/07 4:250K Toppan Merrill/FA |