<SEC-DOCUMENT>0001144204-13-065184.txt : 20131202
<SEC-HEADER>0001144204-13-065184.hdr.sgml : 20131202
<ACCEPTANCE-DATETIME>20131202214415
ACCESSION NUMBER:		0001144204-13-065184
CONFORMED SUBMISSION TYPE:	3
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20131120
FILED AS OF DATE:		20131202
DATE AS OF CHANGE:		20131202

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CAPRICOR THERAPEUTICS, INC.
		CENTRAL INDEX KEY:			0001133869
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		8840 WILSHIRE BLVD
		STREET 2:		2ND FLOOR
		CITY:			BEVERLY HILLS
		STATE:			CA
		ZIP:			90211
		BUSINESS PHONE:		(310) 358-3200

	MAIL ADDRESS:	
		STREET 1:		8840 WILSHIRE BLVD
		STREET 2:		2ND FLOOR
		CITY:			BEVERLY HILLS
		STATE:			CA
		ZIP:			90211

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	Nile Therapeutics, Inc.
		DATE OF NAME CHANGE:	20070920

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	SMI PRODUCTS INC
		DATE OF NAME CHANGE:	20010206

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Bergmann Anthony
		CENTRAL INDEX KEY:			0001593087

	FILING VALUES:
		FORM TYPE:		3
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-34058
		FILM NUMBER:		131253036

	MAIL ADDRESS:	
		STREET 1:		C/O CAPRICOR THERAPEUTICS, INC.
		STREET 2:		8840 WILSHIRE BLVD., 2ND FLOOR
		CITY:			BEVERLY HILLS
		STATE:			CA
		ZIP:			90211
</SEC-HEADER>
<DOCUMENT>
<TYPE>3
<SEQUENCE>1
<FILENAME>v362011_3.xml
<DESCRIPTION>OWNERSHIP DOCUMENT
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0206</schemaVersion>

    <documentType>3</documentType>

    <periodOfReport>2013-11-20</periodOfReport>

    <noSecuritiesOwned>0</noSecuritiesOwned>

    <issuer>
        <issuerCik>0001133869</issuerCik>
        <issuerName>CAPRICOR THERAPEUTICS, INC.</issuerName>
        <issuerTradingSymbol>NLTXD</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001593087</rptOwnerCik>
            <rptOwnerName>Bergmann Anthony</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O CAPRICOR THERAPEUTICS, INC.</rptOwnerStreet1>
            <rptOwnerStreet2>8840 WILSHIRE BLVD., 2ND FLOOR</rptOwnerStreet2>
            <rptOwnerCity>BEVERLY HILLS</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>90211</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>1</isOfficer>
            <isTenPercentOwner>0</isTenPercentOwner>
            <isOther>0</isOther>
            <officerTitle>See Remarks</officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <derivativeTable>
        <derivativeHolding>
            <securityTitle>
                <value>Stock Option (right to buy)</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>0.37</value>
            </conversionOrExercisePrice>
            <exerciseDate>
                <value>2012-07-27</value>
                <footnoteId id="F1"/>
            </exerciseDate>
            <expirationDate>
                <value>2022-07-27</value>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>COMMON STOCK</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>16598</value>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
            </ownershipNature>
        </derivativeHolding>
        <derivativeHolding>
            <securityTitle>
                <value>Stock Option (right to buy)</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>0.30</value>
            </conversionOrExercisePrice>
            <exerciseDate>
                <value>2013-10-23</value>
                <footnoteId id="F2"/>
            </exerciseDate>
            <expirationDate>
                <value>2023-10-23</value>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>COMMON STOCK</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>21785</value>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
            </ownershipNature>
        </derivativeHolding>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">Vesting schedule is as follows: 25% of the shares subject to this option vested immediately, with the remainder vesting annually over 3 years commencing July 27, 2013.</footnote>
        <footnote id="F2">Vesting schedule is as follows: This option grant vests over 4 years with the first 25% of the shares subject to the option vesting on November 1, 2014.</footnote>
    </footnotes>

    <remarks>Title: Director of Finance and Treasurer.
Exhibit 24 - Power of Attorney</remarks>

    <ownerSignature>
        <signatureName>/s/ Linda Marban, as Attorney-in-Fact</signatureName>
        <signatureDate>2013-11-30</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-24
<SEQUENCE>2
<FILENAME>v362011_ex24.htm
<DESCRIPTION>EXHIBIT 24
<TEXT>
<HTML>
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     <TITLE></TITLE>
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<BODY STYLE="font: 10pt Times New Roman, Times, Serif">

<P STYLE="margin: 0">&nbsp;</P>

<P STYLE="font: bold 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">POWER OF ATTORNEY</P>

<P STYLE="font: bold 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">Know all by these presents,
that the undersigned hereby constitutes and appoints each of Linda Marb&aacute;n and Karen Krasney or either of them acting singly
and with full power of substitution, the undersigned&rsquo;s true and lawful attorney-in-fact and agent to:</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">&nbsp;</P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">1.</TD><TD STYLE="text-align: justify">execute for and on behalf of the undersigned, in the undersigned&rsquo;s capacity as an officer,
director and/or holder of 10% or more of a registered class of securities of Capricor Therapeutics, Inc. (the &ldquo;<FONT STYLE="font-weight: normal; color: black"><U>Company</U></FONT>&rdquo;),
Forms 3, 4 and 5 (and any amendments thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended
(the &ldquo;<FONT STYLE="font-weight: normal; color: black"><U>Exchange Act</U></FONT>&rdquo;), and the rules promulgated thereunder;</TD></TR></TABLE>

<P STYLE="margin-top: 0; margin-bottom: 0">&nbsp;</P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">2.</TD><TD STYLE="text-align: justify">do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable
to complete and execute any such Forms 3, 4 and 5, complete and execute any amendment or amendments thereto, and timely file such
forms or amendments with the United States Securities and Exchange Commission (the &ldquo;<FONT STYLE="font-weight: normal; color: black"><U>SEC</U></FONT>&rdquo;)
and any securities exchange or similar authority, including without limitation the filing of a Form ID or any other documents necessary
or appropriate to enable the undersigned to file the Forms 3, 4 and 5 electronically with the SEC; and</TD></TR></TABLE>

<P STYLE="margin-top: 0; margin-bottom: 0">&nbsp;</P>

<TABLE CELLPADDING="0" CELLSPACING="0" WIDTH="100%" STYLE="font: 10pt Times New Roman, Times, Serif; margin-top: 0pt; margin-bottom: 0pt"><TR STYLE="vertical-align: top">
<TD STYLE="width: 0.25in"></TD><TD STYLE="width: 0.25in">3.</TD><TD STYLE="text-align: justify">take any other action of any nature whatsoever in connection with the foregoing which, in the opinion
of any such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by or for, the undersigned, it
being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney
shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact&rsquo;s
discretion.</TD></TR></TABLE>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">The undersigned hereby
grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever required,
necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes
as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and
confirming all that such attorney-in-fact, or such attorney-in-fact&rsquo;s substitute or substitutes, shall lawfully do or cause
to be done by virtue of this Power of Attorney and the rights and powers herein granted.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">The undersigned acknowledges
that the foregoing attorneys-in-fact, in serving in such capacity at the request and on the behalf of the undersigned, are not
assuming, nor is the Company assuming, any of the undersigned&rsquo;s responsibilities to comply with, or any liability for the
failure to comply with, any provision of Section 16 of the Exchange Act.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">This Power of Attorney
shall remain in full force and effect with respect to the undersigned until the earliest to occur of (a) such date that the undersigned
is no longer required to file Forms 3, 4 and 5 with respect to the undersigned&rsquo;s holdings of and transactions in securities
issued by the Company, and (b) the revocation by the undersigned in a signed writing delivered to the Company and each of the foregoing
attorneys-in-fact.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center"><B>[SIGNATURE PAGE FOLLOWS]</B></P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: center">&nbsp;</P>


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<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify; text-indent: 0.5in"><B>IN WITNESS WHEREOF</B>,
the undersigned has caused this Power of Attorney to be executed as of this 6 day of&nbsp;November, 2013.</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<TABLE CELLSPACING="0" CELLPADDING="0" STYLE="font: 10pt Times New Roman, Times, Serif; width: 100%; border-collapse: collapse">
<TR STYLE="vertical-align: top">
    <TD STYLE="width: 50%; font-size: 10pt; border-bottom: Black 1pt solid">/s/ Anthony Bergmann</TD>
    <TD STYLE="width: 50%">&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="font-size: 10pt">Signature</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="font-size: 10pt">&nbsp;</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="font-size: 10pt; border-bottom: Black 1pt solid">Anthony Bergmann</TD>
    <TD>&nbsp;</TD></TR>
<TR STYLE="vertical-align: top">
    <TD STYLE="font-size: 10pt">Print Name</TD>
    <TD>&nbsp;</TD></TR>
</TABLE>


<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify">&nbsp;</P>

<P STYLE="font: 10pt Times New Roman, Times, Serif; margin: 0pt 0; text-align: justify"></P>

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