SC 13G/A: CAPRICOR THERAPEUTICS, INC.

AI Summary

SC 13G/A filing by CAPRICOR THERAPEUTICS, INC..

Risk Assessment

Risk Level: low

FAQ

Key Financial Figures

• $0.001 — me of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securitie

Filing Documents

• p24-3053sc13ga.htm (SC 13G/A) — 47KB
• 0000902664-24-006351.txt ( ) — 49KB

(a)

Item 1(a). NAME OF ISSUER: The name of the issuer is Capricor Therapeutics, Inc. (the " Company ").

(b)

Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: The Company's principal executive offices are located at 10865 Road to the Cure, Suite 150, San Diego, California 92121.

(a)

Item 2(a). NAME OF PERSON FILING: This statement is filed by Highbridge Capital Management, LLC (" Highbridge " or the " Reporting Person "), a Delaware limited liability company and the investment adviser to certain funds and accounts (the " Highbridge Funds "), with respect to the shares of Common Stock (as defined in Item 2(d) below) issuable upon exercise of warrants directly held by the Highbridge Funds. The filing of this statement should not be construed as an admission that any of the foregoing persons or the Reporting Person is, for the purposes of Section 13 of the Act, the beneficial owner of the shares of Common Stock reported herein.

(b)

Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the business office of the Reporting Person is 277 Park Avenue, 23rd Floor, New York, New York 10172.

(c)

Item 2(c). CITIZENSHIP: Highbridge is a Delaware limited liability company.

(d)

Item 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.001 per share (the " Common Stock ").

(e)

Item 2(e). CUSIP NUMBER: 14070B309 Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) ¨ Broker or dealer registered under Section 15 of the Act, (b) ¨ Bank as defined in Section 3(a)(6) of the Act, (c) ¨ Insurance Company as defined in Section 3(a)(19) of the Act, (d) ¨ Investment Company registered under Section 8 of the Investment Company Act of 1940, CUSIP No. 14070B309 13G/A Page 4 of 6 Pages (e) x An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) ¨ Employee Benefit Plan or Endowment Fund in accordance with Rule 13d1(b)(1)(ii)(F), (g) ¨ Parent Holding Company or control person in accordance with Rule 13d1(b)(1)(ii)(G), (h) ¨ Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act, (i) ¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) ¨ A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); (k) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: __________________________________________ Item 4. The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page of the Reporting Person and is incorporated herein by reference. The percentage set forth herein is calculated based upon 40,332,392 shares of Common Stock outstanding as of September 30, 2024, as reported in the Company's Prospectus filed pursuant to Rule 424(b)(5) with the Securities and Exchange Commission on October 17, 2024, and assumes the exercise of the warrants held by the Highbridge Funds. Item 5. Not applicable. Item 6.

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. DATED: November 8, 2024 HIGHBRIDGE CAPITAL MANAGEMENT, LLC By: /s/ Kirk Rule Name: Kirk Rule Title: Executive Director

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