$CAPR
CAPRICOR THERAPEUTICS, INC.

2016 Q4 Form 10-Q Financial Statement

#000114420416134169 Filed on November 14, 2016

View on sec.gov

Income Statement

Concept 2016 Q4 2016 Q3 2015 Q4
Revenue $910.0K $746.8K $1.120M
YoY Change -18.75% -43.21% -20.0%
Cost Of Revenue
YoY Change
Gross Profit
YoY Change
Gross Profit Margin
Selling, General & Admin $1.150M $1.260M $1.080M
YoY Change 6.48% 29.9% 58.82%
% of Gross Profit
Research & Development $2.670M $4.727M $3.330M
YoY Change -19.82% 48.06% 29.07%
% of Gross Profit
Depreciation & Amortization $40.00K $20.00K $30.00K
YoY Change 33.33% -33.33% 200.0%
% of Gross Profit
Operating Expenses $3.820M $5.987M $4.410M
YoY Change -13.38% 43.73% 34.86%
Operating Profit -$5.240M
YoY Change 83.83%
Interest Expense -$100.0K $98.75K -$60.00K
YoY Change 66.67% 60.1% 0.0%
% of Operating Profit
Other Income/Expense, Net -$93.34K
YoY Change 52.05%
Pretax Income -$4.520M -$5.330M -$3.350M
YoY Change 34.93% 83.16% 73.58%
Income Tax
% Of Pretax Income
Net Earnings -$4.520M -$5.333M -$3.350M
YoY Change 34.93% 83.16% 73.58%
Net Earnings / Revenue -496.7% -714.19% -299.11%
Basic Earnings Per Share
Diluted Earnings Per Share -$2.112M -$2.913M -$2.055M
COMMON SHARES
Basic Shares Outstanding 21.40M shares 17.95M shares 16.25M shares
Diluted Shares Outstanding

Balance Sheet

Concept 2016 Q4 2016 Q3 2015 Q4
SHORT-TERM ASSETS
Cash & Short-Term Investments $16.19M $20.52M $13.57M
YoY Change 19.37% 19.18% 68.96%
Cash & Equivalents $3.204M $18.02M $5.568M
Short-Term Investments $12.99M $2.500M $7.999M
Other Short-Term Assets $1.690M $720.0K $210.0K
YoY Change 704.76% 700.0% -93.48%
Inventory
Prepaid Expenses
Receivables
Other Receivables
Total Short-Term Assets $18.11M $22.40M $13.99M
YoY Change 29.44% 26.48% 20.52%
LONG-TERM ASSETS
Property, Plant & Equipment $435.3K $351.5K $318.6K
YoY Change 36.65% 5.83% 38.84%
Goodwill
YoY Change
Intangibles
YoY Change
Long-Term Investments
YoY Change
Other Assets $60.00K $60.00K $70.00K
YoY Change -14.29% -53.85% 16.67%
Total Long-Term Assets $639.0K $2.067M $2.080M
YoY Change -69.27% -4.66% 2.73%
TOTAL ASSETS
Total Short-Term Assets $18.11M $22.40M $13.99M
Total Long-Term Assets $639.0K $2.067M $2.080M
Total Assets $18.75M $24.47M $16.07M
YoY Change 16.66% 23.08% 17.88%
SHORT-TERM LIABILITIES
YoY Change
Accounts Payable $3.530M $4.620M $2.880M
YoY Change 22.57% 59.86% 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 $4.895M $6.670M $6.529M
YoY Change -25.02% 2.08% 3.64%
LONG-TERM LIABILITIES
Long-Term Debt $17.01M $17.01M $9.160M
YoY Change 85.7% 85.7% 0.0%
Other Long-Term Liabilities $850.0K $750.0K $1.420M
YoY Change -40.14% -66.96% -67.95%
Total Long-Term Liabilities $17.86M $17.75M $10.57M
YoY Change 68.88% 55.42% -22.15%
TOTAL LIABILITIES
Total Short-Term Liabilities $4.895M $6.670M $6.529M
Total Long-Term Liabilities $17.86M $17.75M $10.57M
Total Liabilities $22.75M $24.42M $17.10M
YoY Change 33.03% 36.01% -13.98%
SHAREHOLDERS EQUITY
Retained Earnings -$53.98M -$49.46M -$35.17M
YoY Change 53.47% 55.41% 57.62%
Common Stock $49.97M $49.51M $34.13M
YoY Change 46.41% 46.74% 112.44%
Preferred Stock
YoY Change
Treasury Stock (at cost)
YoY Change
Treasury Stock Shares
Shareholders Equity -$4.003M $49.13K -$1.032M
YoY Change
Total Liabilities & Shareholders Equity $18.75M $24.47M $16.07M
YoY Change 16.66% 23.08% 17.88%

Cashflow Statement

Concept 2016 Q4 2016 Q3 2015 Q4
OPERATING ACTIVITIES
Net Income -$4.520M -$5.333M -$3.350M
YoY Change 34.93% 83.16% 73.58%
Depreciation, Depletion And Amortization $40.00K $20.00K $30.00K
YoY Change 33.33% -33.33% 200.0%
Cash From Operating Activities -$3.470M -$1.920M -$3.650M
YoY Change -4.93% -40.74% 70.56%
INVESTING ACTIVITIES
Capital Expenditures -$100.0K -$10.00K $0.00
YoY Change -88.89% -100.0%
Acquisitions
YoY Change
Other Investing Activities -$10.49M $0.00 $5.000M
YoY Change -309.8% -100.0% 1415.15%
Cash From Investing Activities -$10.59M -$20.00K $4.990M
YoY Change -312.22% -100.83% 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 0.000 11.70M 0.000
YoY Change 116900.0%
NET CHANGE
Cash From Operating Activities -3.470M -1.920M -3.650M
Cash From Investing Activities -10.59M -20.00K 4.990M
Cash From Financing Activities 0.000 11.70M 0.000
Net Change In Cash -14.06M 9.760M 1.340M
YoY Change -1149.25% -1304.94% -175.71%
FREE CASH FLOW
Cash From Operating Activities -$3.470M -$1.920M -$3.650M
Capital Expenditures -$100.0K -$10.00K $0.00
Free Cash Flow -$3.370M -$1.910M -$3.650M
YoY Change -7.67% -39.37% 67.43%

Facts In Submission

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CAPRICOR THERAPEUTICS, INC.
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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;CLEAR: both"> </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;CLEAR: both"> &#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 Property Plant And Equipment Gross
PropertyPlantAndEquipmentGross
492274 USD
CY2016Q3 us-gaap Restricted Cash And Cash Equivalents
RestrictedCashAndCashEquivalents
600000 USD
CY2016Q3 us-gaap Deferred Finance Costs Noncurrent Net
DeferredFinanceCostsNoncurrentNet
30000 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
us-gaap Amortization Of Intangible Assets
AmortizationOfIntangibleAssets
36562 USD
capr Increase Decrease In Other Long Term Debt
IncreaseDecreaseInOtherLongTermDebt
2000000 USD
capr Increase Decrease In Other Long Term Debt
IncreaseDecreaseInOtherLongTermDebt
0 USD

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