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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1133869	Capricor Therapeutics Inc.	CAPR	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1604726	Edward St. John, Llc	2560 Lord Baltimore Drive Baltimore MD 21244		No	No	Yes	No
1604736	A. Edward John St.	2560 Lord Baltimore Drive Baltimore MD 21244		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-03-16	416,666	$2.40	842,439	No	4	P	Direct
Common Stock	Acquisiton	2016-03-16	416,666	$2.40	842,439	No	4	P	Indirect	By Edward St. John, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	By Edward St. John, LLC

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant	Acquisiton	2016-03-16	208,333	$0.00	208,333	$4.50
Common Stock	Warrant	Acquisiton	2016-03-16	208,333	$0.00	208,333	$4.50

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
208,333	2016-09-17	2019-03-16	No	4	P	Direct
208,333	2016-09-17	2019-03-16	No	4	P	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,556,141	Indirect	By MD BTI, LLC
Common Stock	1,556,141	Indirect	By MD BTI, LLC
Common Stock	54,602	Direct
Common Stock	324,196	Indirect	By MD BTI, Inc.

Footnotes

This Form 4 is filed jointly by Edward A. St. John and Edward St. John, LLC ("St. John LLC"). The shares and warrants reported here are owned directly by St. John LLC.
St. John LLC entered into a Subscription Agreement with Capricor Therapeutics, Inc. (the "Issuer") pursuant to which St. John LLC, on March 16, 2016, purchased an aggregate of 416,666 shares of the Issuer's common stock at a purchase price of $2.40 per share for an aggregate purchase price of approximately US$1,000,000. In connection with the purchase of shares, St. John LLC also received a warrant to purchase up to 208,333 shares of the Issuer's common stock at a strike price of $4.50 per share, exercisable at any time between September 17, 2016 and March 16, 2019.
The shares reported here are owned indirectly by St. John LLC.
Mr. St. John is the sole member and general manager of St. John LLC. Accordingly, Mr. St. John is the indirect beneficial owner of the shares and warrants reported here. Mr. St. John disclaims beneficial ownership of these shares and warrants except to the extent of his pecuniary interest in the shares and warrants.
The shares reported here are owned indirectly by Mr. St. John.
The shares reported here are owned directly by Mr. St. John.
Thee shares reported here are owned indirectly by Mr. St. John.