$CAPR
CAPRICOR THERAPEUTICS, INC.

2016 Q3 Form 10-Q Financial Statement

#000114420416119561 Filed on August 15, 2016

View on sec.gov

Income Statement

Concept 2016 Q3 2016 Q2 2015 Q4
Revenue $746.8K $1.130M $1.120M
YoY Change -43.21% -12.52% -20.0%
Cost Of Revenue
YoY Change
Gross Profit
YoY Change
Gross Profit Margin
Selling, General & Admin $1.260M $1.430M $1.080M
YoY Change 29.9% 53.76% 58.82%
% of Gross Profit
Research & Development $4.727M $4.308M $3.330M
YoY Change 48.06% 25.71% 29.07%
% of Gross Profit
Depreciation & Amortization $20.00K $40.00K $30.00K
YoY Change -33.33% 33.33% 200.0%
% of Gross Profit
Operating Expenses $5.987M $5.742M $4.410M
YoY Change 43.73% 31.91% 34.86%
Operating Profit -$5.240M -$4.612M
YoY Change 83.83% 50.65%
Interest Expense $98.75K $76.89K -$60.00K
YoY Change 60.1% 24.65% 0.0%
% of Operating Profit
Other Income/Expense, Net -$93.34K -$76.46K
YoY Change 52.05% 24.27%
Pretax Income -$5.330M -$4.690M -$3.350M
YoY Change 83.16% 50.32% 73.58%
Income Tax
% Of Pretax Income
Net Earnings -$5.333M -$4.689M -$3.350M
YoY Change 83.16% 50.13% 73.58%
Net Earnings / Revenue -714.19% -415.01% -299.11%
Basic Earnings Per Share
Diluted Earnings Per Share -$2.913M -$2.606M -$2.055M
COMMON SHARES
Basic Shares Outstanding 17.95M shares 16.25M shares
Diluted Shares Outstanding

Balance Sheet

Concept 2016 Q3 2016 Q2 2015 Q4
SHORT-TERM ASSETS
Cash & Short-Term Investments $20.52M $11.35M $13.57M
YoY Change 19.18% -44.72% 68.96%
Cash & Equivalents $18.02M $8.851M $5.568M
Short-Term Investments $2.500M $2.500M $7.999M
Other Short-Term Assets $720.0K $240.0K $210.0K
YoY Change 700.0% -67.12% -93.48%
Inventory
Prepaid Expenses
Receivables
Other Receivables
Total Short-Term Assets $22.40M $11.81M $13.99M
YoY Change 26.48% -45.44% 20.52%
LONG-TERM ASSETS
Property, Plant & Equipment $351.5K $355.3K $318.6K
YoY Change 5.83% 35.06% 38.84%
Goodwill
YoY Change
Intangibles
YoY Change
Long-Term Investments
YoY Change
Other Assets $60.00K $60.00K $70.00K
YoY Change -53.85% -14.29% 16.67%
Total Long-Term Assets $2.067M $2.083M $2.080M
YoY Change -4.66% 1.74% 2.73%
TOTAL ASSETS
Total Short-Term Assets $22.40M $11.81M $13.99M
Total Long-Term Assets $2.067M $2.083M $2.080M
Total Assets $24.47M $13.89M $16.07M
YoY Change 23.08% -41.36% 17.88%
SHORT-TERM LIABILITIES
YoY Change
Accounts Payable $4.620M $3.470M $2.880M
YoY Change 59.86% 7.76% 35.21%
Accrued Expenses
YoY Change
Deferred Revenue
YoY Change
Short-Term Debt $0.00 $0.00 $0.00
YoY Change
Long-Term Debt Due
YoY Change
Total Short-Term Liabilities $6.670M $6.205M $6.529M
YoY Change 2.08% -9.6% 3.64%
LONG-TERM LIABILITIES
Long-Term Debt $17.01M $12.16M $9.160M
YoY Change 85.7% 32.75% 0.0%
Other Long-Term Liabilities $750.0K $650.0K $1.420M
YoY Change -66.96% -79.17% -67.95%
Total Long-Term Liabilities $17.75M $12.80M $10.57M
YoY Change 55.42% 4.33% -22.15%
TOTAL LIABILITIES
Total Short-Term Liabilities $6.670M $6.205M $6.529M
Total Long-Term Liabilities $17.75M $12.80M $10.57M
Total Liabilities $24.42M $19.01M $17.10M
YoY Change 36.01% -0.67% -13.98%
SHAREHOLDERS EQUITY
Retained Earnings -$49.46M -$44.13M -$35.17M
YoY Change 55.41% 57.62%
Common Stock $49.51M $39.01M $34.13M
YoY Change 46.74% 16.57% 112.44%
Preferred Stock
YoY Change
Treasury Stock (at cost)
YoY Change
Treasury Stock Shares
Shareholders Equity $49.13K -$5.116M -$1.032M
YoY Change
Total Liabilities & Shareholders Equity $24.47M $13.89M $16.07M
YoY Change 23.08% -41.36% 17.88%

Cashflow Statement

Concept 2016 Q3 2016 Q2 2015 Q4
OPERATING ACTIVITIES
Net Income -$5.333M -$4.689M -$3.350M
YoY Change 83.16% 50.13% 73.58%
Depreciation, Depletion And Amortization $20.00K $40.00K $30.00K
YoY Change -33.33% 33.33% 200.0%
Cash From Operating Activities -$1.920M -$4.880M -$3.650M
YoY Change -40.74% 159.57% 70.56%
INVESTING ACTIVITIES
Capital Expenditures -$10.00K -$30.00K $0.00
YoY Change -88.89% 50.0% -100.0%
Acquisitions
YoY Change
Other Investing Activities $0.00 $0.00 $5.000M
YoY Change -100.0% 1415.15%
Cash From Investing Activities -$20.00K -$30.00K $4.990M
YoY Change -100.83% 0.0% 1248.65%
FINANCING ACTIVITIES
Cash Dividend Paid
YoY Change
Common Stock Issuance & Retirement, Net
YoY Change
Debt Paid & Issued, Net
YoY Change
Cash From Financing Activities 11.70M 2.000M 0.000
YoY Change 116900.0%
NET CHANGE
Cash From Operating Activities -1.920M -4.880M -3.650M
Cash From Investing Activities -20.00K -30.00K 4.990M
Cash From Financing Activities 11.70M 2.000M 0.000
Net Change In Cash 9.760M -2.910M 1.340M
YoY Change -1304.94% 52.36% -175.71%
FREE CASH FLOW
Cash From Operating Activities -$1.920M -$4.880M -$3.650M
Capital Expenditures -$10.00K -$30.00K $0.00
Free Cash Flow -$1.910M -$4.850M -$3.650M
YoY Change -39.37% 160.75% 67.43%

Facts In Submission

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dei Trading Symbol
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4.5
us-gaap Share Based Compensation Arrangement By Share Based Payment Award Options Grants In Period Weighted Average Grant Date Fair Value
ShareBasedCompensationArrangementByShareBasedPaymentAwardOptionsGrantsInPeriodWeightedAverageGrantDateFairValue
2.00
us-gaap Share Based Compensation Arrangement By Share Based Payment Award Options Grants In Period Weighted Average Grant Date Fair Value
ShareBasedCompensationArrangementByShareBasedPaymentAwardOptionsGrantsInPeriodWeightedAverageGrantDateFairValue
4.15
us-gaap Share Based Compensation Arrangement By Share Based Payment Award Options Exercises In Period Total Intrinsic Value
ShareBasedCompensationArrangementByShareBasedPaymentAwardOptionsExercisesInPeriodTotalIntrinsicValue
12086 USD
CY2016Q2 us-gaap Share Based Compensation
ShareBasedCompensation
654025 USD
CY2015Q2 us-gaap Share Based Compensation
ShareBasedCompensation
342930 USD
CY2016Q2 us-gaap Employee Service Share Based Compensation Nonvested Awards Total Compensation Cost Not Yet Recognized Stock Options
EmployeeServiceShareBasedCompensationNonvestedAwardsTotalCompensationCostNotYetRecognizedStockOptions
4600000 USD
us-gaap Employee Service Share Based Compensation Nonvested Awards Total Compensation Cost Not Yet Recognized Period For Recognition1
EmployeeServiceShareBasedCompensationNonvestedAwardsTotalCompensationCostNotYetRecognizedPeriodForRecognition1
P2Y9M18D
CY2016Q1 us-gaap Common Stock Shares Issued
CommonStockSharesIssued
17952323 shares
CY2016Q2 us-gaap Deferred Finance Costs Noncurrent Net
DeferredFinanceCostsNoncurrentNet
30000 USD
CY2016Q2 us-gaap Marketable Securities
MarketableSecurities
2499975 USD
us-gaap Antidilutive Securities Excluded From Computation Of Earnings Per Share Amount
AntidilutiveSecuritiesExcludedFromComputationOfEarningsPerShareAmount
6143299 shares
dei Document Type
DocumentType
10-Q
dei Amendment Flag
AmendmentFlag
false
dei Document Period End Date
DocumentPeriodEndDate
2016-06-30
dei Document Fiscal Year Focus
DocumentFiscalYearFocus
2016
dei Document Fiscal Period Focus
DocumentFiscalPeriodFocus
Q2
dei Entity Registrant Name
EntityRegistrantName
CAPRICOR THERAPEUTICS, INC.
dei Entity Central Index Key
EntityCentralIndexKey
0001133869
dei Current Fiscal Year End Date
CurrentFiscalYearEndDate
--12-31
dei Entity Filer Category
EntityFilerCategory
Smaller Reporting Company
CY2016Q3 dei Entity Common Stock Shares Outstanding
EntityCommonStockSharesOutstanding
17954398 shares
CY2016Q2 us-gaap Finite Lived Intangible Assets Accumulated Amortization
FiniteLivedIntangibleAssetsAccumulatedAmortization
123054 USD
CY2015Q4 us-gaap Finite Lived Intangible Assets Accumulated Amortization
FiniteLivedIntangibleAssetsAccumulatedAmortization
98679 USD
CY2016Q2 us-gaap Preferred Stock Shares Issued
PreferredStockSharesIssued
0 shares
us-gaap Use Of Estimates
UseOfEstimates
<div style="MARGIN: 0pt 0px; FONT: 10pt Times New Roman, Times, Serif "> <div style="CLEAR:both; FONT-FAMILY:Times New Roman;FONT-SIZE: 10pt;MARGIN: 0pt 0px; FONT: 10pt Times New Roman, Times, Serif" align="justify"></div> <div style="CLEAR:both; FONT-FAMILY:Times New Roman;FONT-SIZE: 10pt;MARGIN: 0pt 0px; FONT: 10pt Times New Roman, Times, Serif"> <u>Use of Estimates</u></div> <div style="CLEAR:both; FONT-FAMILY:Times New Roman;FONT-SIZE: 10pt;TEXT-INDENT: 0.5in; MARGIN: 0pt 0px 0pt 0.25in; FONT: 10pt Times New Roman, Times, Serif"> &#160;</div> <div style="CLEAR:both; FONT-FAMILY:Times New Roman;FONT-SIZE: 10pt;TEXT-INDENT: 0.5in; MARGIN: 0pt 0px; FONT: 10pt Times New Roman, Times, Serif" align="justify">The preparation of financial statements in conformity with U.S. GAAP requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the condensed consolidated financial statements. Estimates also affect the reported amounts of revenues and expenses during the reporting period. The most sensitive estimates relate to the period over which collaboration revenue is recognized and the assumptions used to estimate stock-based compensation expense. Management uses its historical records and knowledge of its business in making these estimates. Accordingly, actual results may differ from these estimates.</div> </div><table border="0" style="width:100%; table-layout:fixed;" cellspacing="0" cellpadding="0"><tr><td></td></tr></table>
CY2015Q4 us-gaap Preferred Stock Shares Issued
PreferredStockSharesIssued
0 shares
CY2016Q2 us-gaap Preferred Stock Shares Outstanding
PreferredStockSharesOutstanding
0 shares
CY2015Q4 us-gaap Common Stock Shares Issued
CommonStockSharesIssued
16254985 shares
CY2015Q4 us-gaap Common Stock Shares Outstanding
CommonStockSharesOutstanding
16254985 shares
CY2016Q2 us-gaap Property Plant And Equipment Gross
PropertyPlantAndEquipmentGross
569714 USD
CY2015Q4 us-gaap Property Plant And Equipment Gross
PropertyPlantAndEquipmentGross
492274 USD
CY2016Q2 us-gaap Finite Lived Intangible Assets Amortization Expense Remainder Of Fiscal Year
FiniteLivedIntangibleAssetsAmortizationExpenseRemainderOfFiscalYear
24375 USD
CY2016Q2 us-gaap Finite Lived Intangible Assets Amortization Expense Year Three
FiniteLivedIntangibleAssetsAmortizationExpenseYearThree
43732 USD
CY2016Q2 us-gaap Finite Lived Intangible Assets Amortization Expense Year Two
FiniteLivedIntangibleAssetsAmortizationExpenseYearTwo
48749 USD
CY2016Q2 us-gaap Finite Lived Intangible Assets Amortization Expense Year Four
FiniteLivedIntangibleAssetsAmortizationExpenseYearFour
43277 USD
CY2016Q2 us-gaap Finite Lived Intangible Assets Amortization Expense Year Five
FiniteLivedIntangibleAssetsAmortizationExpenseYearFive
4330 USD
CY2016Q2 us-gaap Finite Lived Intangible Assets Amortization Expense After Year Five
FiniteLivedIntangibleAssetsAmortizationExpenseAfterYearFive
2165 USD
us-gaap Amortization Of Intangible Assets
AmortizationOfIntangibleAssets
24375 USD
us-gaap Amortization Of Intangible Assets
AmortizationOfIntangibleAssets
24375 USD
CY2016Q1 us-gaap Other Intangible Assets Net
OtherIntangibleAssetsNet
1500000 USD
CY2016Q2 us-gaap Antidilutive Securities Excluded From Computation Of Earnings Per Share Amount
AntidilutiveSecuritiesExcludedFromComputationOfEarningsPerShareAmount
7732632 shares
CY2015Q2 us-gaap Antidilutive Securities Excluded From Computation Of Earnings Per Share Amount
AntidilutiveSecuritiesExcludedFromComputationOfEarningsPerShareAmount
6143299 shares
us-gaap Antidilutive Securities Excluded From Computation Of Earnings Per Share Amount
AntidilutiveSecuritiesExcludedFromComputationOfEarningsPerShareAmount
7732632 shares
CY2016Q2 us-gaap Operating Leases Future Minimum Payments Due In Three Years
OperatingLeasesFutureMinimumPaymentsDueInThreeYears
292722 USD
us-gaap Share Based Compensation Arrangement By Share Based Payment Award Fair Value Assumptions Expected Dividend Rate
ShareBasedCompensationArrangementByShareBasedPaymentAwardFairValueAssumptionsExpectedDividendRate
0 pure
us-gaap Share Based Compensation Arrangement By Share Based Payment Award Fair Value Assumptions Expected Dividend Rate
ShareBasedCompensationArrangementByShareBasedPaymentAwardFairValueAssumptionsExpectedDividendRate
0 pure
CY2016Q2 us-gaap Share Based Compensation Arrangement By Share Based Payment Award Options Grants In Period Weighted Average Grant Date Fair Value
ShareBasedCompensationArrangementByShareBasedPaymentAwardOptionsGrantsInPeriodWeightedAverageGrantDateFairValue
2.15
CY2015Q2 us-gaap Share Based Compensation Arrangement By Share Based Payment Award Options Grants In Period Weighted Average Grant Date Fair Value
ShareBasedCompensationArrangementByShareBasedPaymentAwardOptionsGrantsInPeriodWeightedAverageGrantDateFairValue
3.53
us-gaap Operating Leases Rent Expense Net
OperatingLeasesRentExpenseNet
22995 USD
CY2016Q1 capr Warrant Redemption Weighted Average Common Stock Per Share Threshold Limit
WarrantRedemptionWeightedAverageCommonStockPerShareThresholdLimit
7.50
CY2016Q1 capr Warrant Redemption Fees Per Share
WarrantRedemptionFeesPerShare
0.001
CY2016Q1 capr Warrant Redemption Terms
WarrantRedemptionTerms
if, on or after the Original Exercise Date, the Volume Weighted Average Price of the Common Stock equals or exceeds $7.50 per share of Common Stock for any period of 20 consecutive trading days, the Company shall have the right, but not the obligation, to redeem any unexercised portion of this Warrant for a redemption fee of $0.001 per Warrant Share.
CY2015Q4 capr Class Of Warrant Or Right Weighted Average Exercise Price
ClassOfWarrantOrRightWeightedAverageExercisePrice
2.27
CY2016Q2 capr Class Of Warrant Or Right Weighted Average Exercise Price
ClassOfWarrantOrRightWeightedAverageExercisePrice
4.01

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