<SEC-DOCUMENT>0001415889-23-011418.txt : 20230724
<SEC-HEADER>0001415889-23-011418.hdr.sgml : 20230724
<ACCEPTANCE-DATETIME>20230724170926
ACCESSION NUMBER:		0001415889-23-011418
CONFORMED SUBMISSION TYPE:	3
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20230721
FILED AS OF DATE:		20230724
DATE AS OF CHANGE:		20230724

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Gotwals Philip J
		CENTRAL INDEX KEY:			0001982655

	FILING VALUES:
		FORM TYPE:		3
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-34058
		FILM NUMBER:		231105789

	MAIL ADDRESS:	
		STREET 1:		C/O CAPRICOR THERAPEUTICS, INC.
		STREET 2:		10865 ROAD TO THE CURE, SUITE 150
		CITY:			SAN DIEGO
		STATE:			CA
		ZIP:			92121

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
</SEC-HEADER>
<DOCUMENT>
<TYPE>3
<SEQUENCE>1
<FILENAME>form3-07242023_090720.xml
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0206</schemaVersion>

    <documentType>3</documentType>

    <periodOfReport>2023-07-21</periodOfReport>

    <noSecuritiesOwned>1</noSecuritiesOwned>

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

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001982655</rptOwnerCik>
            <rptOwnerName>Gotwals Philip J</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O CAPRICOR THERAPEUTICS, INC.</rptOwnerStreet1>
            <rptOwnerStreet2>10865 ROAD TO THE CURE, SUITE 150</rptOwnerStreet2>
            <rptOwnerCity>SAN DIEGO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>92121</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>true</isDirector>
            <isOfficer>false</isOfficer>
            <isTenPercentOwner>false</isTenPercentOwner>
            <isOther>false</isOther>
            <officerTitle></officerTitle>
            <otherText></otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable></nonDerivativeTable>

    <derivativeTable></derivativeTable>

    <footnotes></footnotes>

    <ownerSignature>
        <signatureName>/s/ Linda Marban, Attorney-in-Fact</signatureName>
        <signatureDate>2023-07-24</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-24
<SEQUENCE>2
<FILENAME>ex24-07242023_090721.htm
<TEXT>
<!DOCTYPE html PUBLIC "-//IETF//DTD HTML//EN">
<html><head><title>ex24-07242023_090721.htm</title></head><body style="margin-top:0;font-family:Times New Roman; font-size:10pt; color:#000000">
<p style="margin:0px"><br></p>
<p style="margin:0px" align="center"><b>POWER OF ATTORNEY</b></p>
<p style="margin:0px">&nbsp;</p>
<p style="margin:0px; text-indent:48px" align="justify">Know all by these presents, that the undersigned hereby makes, constitutes and appoints each of&nbsp;<u>Linda Marb&aacute;n</u>,&nbsp;<u>A.J. Bergmann</u>, <u>Karen Krasney</u>&nbsp;and&nbsp;<u>Peter Yonan</u>, or any of them acting individually, and with full power of substitution, the undersigned's true and lawful attorney-in-fact to:</p>
<p style="margin:0px">&nbsp;</p>
<table style="margin-top:0px; font-size:10pt" cellpadding="0" cellspacing="0" width="100%" align="center"><tr style="font-size:0"><td width="48"></td><td width="48"></td><td width="528"></td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="48"><p style="margin:0px"><br></p>
</td><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="48"><p style="margin:0px; color:#1F1F1F">(1)</p>
</td><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="528"><p style="margin:0px; color:#1F1F1F" align="justify">prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form&nbsp;ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section&nbsp;16(a)&nbsp;of the Securities Exchange Act of 1934 or any rule&nbsp;or regulation of the SEC;</p>
</td></tr></table><p style="margin:0px">&nbsp;</p>
<table style="margin-top:0px; font-size:10pt" cellpadding="0" cellspacing="0" width="100%" align="center"><tr style="font-size:0"><td width="48"></td><td width="48"></td><td width="528"></td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="48"><p style="margin:0px"><br></p>
</td><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="48"><p style="margin:0px; color:#1F1F1F">(2)</p>
</td><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="528"><p style="margin:0px; color:#1F1F1F" align="justify">execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of&nbsp;<b style="color:#000000;font-weight:normal;"><u>Capricor Therapeutics,&nbsp;Inc</u></b><b style="color:#000000;font-weight:normal;">.</b>, a Delaware corporation (the "Company"), Forms 3, 4, and 5, including amendments thereto, in accordance with Section&nbsp;16(a)&nbsp;of the Securities Exchange Act of 1934 and the rules&nbsp;and regulations thereunder;</p>
</td></tr></table><p style="margin:0px">&nbsp;</p>
<table style="margin-top:0px; font-size:10pt" cellpadding="0" cellspacing="0" width="100%" align="center"><tr style="font-size:0"><td width="48"></td><td width="48"></td><td width="528"></td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="48"><p style="margin:0px"><br></p>
</td><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="48"><p style="margin:0px">(3)</p>
</td><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="528"><p style="margin:0px; color:#1F1F1F" align="justify">do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form&nbsp;3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and</p>
</td></tr></table><p style="margin:0px">&nbsp;</p>
<table style="margin-top:0px; font-size:10pt" cellpadding="0" cellspacing="0" width="100%" align="center"><tr style="font-size:0"><td width="48"></td><td width="48"></td><td width="528"></td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="48"><p style="margin:0px"><br></p>
</td><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="48"><p style="margin:0px">(4)</p>
</td><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="528"><p style="margin:0px; color:#1F1F1F" align="justify">take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, 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's discretion.</p>
</td></tr></table><p style="margin:0px">&nbsp;</p>
<p style="margin:0px; text-indent:48px; color:#1F1F1F" align="justify">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 requisite, 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'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. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section&nbsp;16 of the Securities Exchange Act of 1934.</p>
<p style="margin:0px" align="justify">&nbsp;</p>
<p style="margin:0px; text-indent:48px; color:#1F1F1F" align="justify">This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier (a)&nbsp;revoked by the undersigned&nbsp;<b style="color:#3F3F3F;font-weight:normal;">i</b>n a signed writing delivered to the foregoing attorneys-in-fact or (b)&nbsp;superseded by a new power of attorney regarding the purposes outlined herein at a later date.</p>
<p style="margin:0px" align="justify">&nbsp;</p>
<p style="margin:0px; text-indent:48px" align="justify">IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of&nbsp;this<u> 21<sup>st</sup></u>day of <u>July</u>,&nbsp;<b style="color:#1F1F1F;font-weight:normal;">202</b><b style="color:#1F1F1F;font-weight:normal;">3.</b></p>
<p style="margin:0px" align="justify"><br></p>
<table style="margin-top:0px; font-size:10pt" cellpadding="0" cellspacing="0" align="center"><tr style="font-size:0"><td width="210"></td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px; border-bottom:1px solid #000000" valign="top" width="210" height="17.467"><p style="margin-top:0px; margin-bottom:8.867px" align="justify">/s/ Philip Gotwals</p>
</td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="210" height="17.467"><p style="margin-top:0px; margin-bottom:8.867px; color:#1F1F1F" align="justify">Signature</p>
</td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="210" height="18.667"><p style="margin-top:0px; margin-bottom:9.8px" align="justify"><br></p>
</td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px; border-bottom:1px solid #000000" valign="top" width="210" height="17.467"><p style="margin-top:0px; margin-bottom:8.867px; color:#1F1F1F" align="justify">Philip Gotwals</p>
</td></tr><tr><td style="margin-top:0px; padding-left:4px; padding-top:0px; padding-right:4px; padding-bottom:0px" valign="top" width="210" height="17.467"><p style="margin-top:0px; margin-bottom:8.867px; color:#1F1F1F" align="justify">Print Name</p>
</td></tr></table><p style="margin:0px" align="justify"><br></p>
<p style="margin:0px" align="justify"><br><br></p>
</body></html>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
