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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 |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 2.13M
2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 30K
3: EX-21.1 Subsidiaries List HTML 18K
4: EX-23.1 Consent of Expert or Counsel HTML 18K
9: EX-97 Clawback Policy re: Recovery of Erroneously HTML 32K
Awarded Compensation
5: EX-31.1 Certification -- §302 - SOA'02 HTML 21K
6: EX-31.2 Certification -- §302 - SOA'02 HTML 22K
7: EX-32.1 Certification -- §906 - SOA'02 HTML 19K
8: EX-32.2 Certification -- §906 - SOA'02 HTML 19K
15: R1 Document and Entity Information HTML 87K
16: R2 Consolidated Balance Sheets HTML 126K
17: R3 Consolidated Balance Sheets (Parenthetical) HTML 38K
18: R4 Consolidated Statements of Operations and HTML 93K
Comprehensive Loss
19: R5 Consolidated Statements of Changes in Stockholders HTML 61K
Equity
20: R6 Consolidated Statements of Cash Flows HTML 91K
21: R7 Organization and Summary of Significant Accounting HTML 107K
Policies
22: R8 Stockholder's Equity HTML 30K
23: R9 Stock Awards, Warrants and Options HTML 152K
24: R10 Concentrations HTML 21K
25: R11 Government Grant Awards HTML 23K
26: R12 Commitments and Contingencies HTML 58K
27: R13 License and Distribution Agreements HTML 47K
28: R14 Related Party Transactions HTML 26K
29: R15 Subsequent Events HTML 22K
30: R16 Organization and Summary of Significant Accounting HTML 154K
Policies (Policies)
31: R17 Organization and Summary of Significant Accounting HTML 59K
Policies (Tables)
32: R18 Stock Awards, Warrants and Options (Tables) HTML 155K
33: R19 Commitments and Contingencies (Tables) HTML 49K
34: R20 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 30K
POLICIES - Property and Equipment (Details)
35: R21 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 90K
POLICIES - Additional Information (Details)
36: R22 ORGANIZATION AND SUMMARY OF SIGNIFICANT ACCOUNTING HTML 24K
POLICIES - Fair value measurements by Levels
(Details)
37: R23 Stockholder's Equity (Details) HTML 75K
38: R24 STOCK AWARDS, WARRANTS AND OPTIONS - Warrants HTML 29K
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39: R25 STOCK AWARDS, WARRANTS AND OPTIONS - Outstanding HTML 35K
Warrants (Details)
40: R26 STOCK AWARDS, WARRANTS AND OPTIONS - Assumptions HTML 43K
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41: R27 STOCK AWARDS, WARRANTS AND OPTIONS - Stock-based HTML 25K
Compensation Expense (Details)
42: R28 STOCK AWARDS, WARRANTS AND OPTIONS - Stock options HTML 56K
outstanding and exercisable (Details)
43: R29 STOCK AWARDS, WARRANTS AND OPTIONS - Stock Option HTML 55K
Activity (Details)
44: R30 STOCK AWARDS, WARRANTS AND OPTIONS - Additional HTML 64K
Information (Details)
45: R31 Concentrations (Details) HTML 22K
46: R32 Government Grant Awards (Details) HTML 29K
47: R33 COMMITMENTS AND CONTINGENCIES - Future Minimum HTML 41K
Rental Payments (Details)
48: R34 COMMITMENTS AND CONTINGENCIES - Additional HTML 82K
Information (Details)
49: R35 License and Distribution Agreements (Details) HTML 109K
50: R36 Related Party Transactions (Details) HTML 45K
51: R37 Subsequent Events (Details) HTML 48K
52: R38 Pay vs Performance Disclosure HTML 30K
53: R39 Insider Trading Arrangements HTML 24K
55: XML IDEA XML File -- Filing Summary XML 92K
58: XML XBRL Instance -- capr-20231231x10k_htm XML 1.29M
54: EXCEL IDEA Workbook of Financial Report Info XLSX 123K
11: EX-101.CAL XBRL Calculations -- capr-20231231_cal XML 104K
12: EX-101.DEF XBRL Definitions -- capr-20231231_def XML 544K
13: EX-101.LAB XBRL Labels -- capr-20231231_lab XML 997K
14: EX-101.PRE XBRL Presentations -- capr-20231231_pre XML 757K
10: EX-101.SCH XBRL Schema -- capr-20231231 XSD 147K
56: JSON XBRL Instance as JSON Data -- MetaLinks 400± 591K
57: ZIP XBRL Zipped Folder -- 0001558370-24-002861-xbrl Zip 547K
Exhibit 31.2
CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER
I, Anthony J. Bergmann, 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 8, 2024
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Name: Anthony J. Bergmann |
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Title: Chief Financial Officer, Principal Financial and Principal Accounting Officer |
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| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 3/11/24 | None on these Dates | ||
| 3/8/24 | ||||
| For Period end: | 12/31/23 | |||
| List all Filings | ||||