ROTH Capital Partners Acts as Joint Book-Running Manager
for Capricor Therapeutics, Inc. (NASDAQ: CAPR) in its
approximately $10 Million Follow-On Offering

For more information please contact:

Investment Banking
John Chambers
Vice-Chairman and
Head of Healthcare
Investment Banking

(646) 358-1901
jchambers@roth.com


Michael Margolis, R.Ph
Managing Director
(646) 358-1902
mmargolis@roth.com

 

Warren Dunnavant II
Director
(646) 358-1903
wdunnavant@roth.com

Equity Capital Markets
Aaron Gurewitz
Head of Equity
Capital Markets
(949) 720-5703

agurewitz@roth.com

 

Nazan Akdeniz
Senior Vice President
(949) 720-5740

nakdeniz@roth.com

 

Lou Ellis
Senior Vice President
(949) 720-5739

lellis@roth.com

Transaction Information

Capricor Therapeutics, Inc. (NASDAQ: CAPR) has completed a placement of 3,090,625 shares of its common stock, which includes the full exercise of the over-allotment option, at an offering price of $3.20 per share. Cedars-Sinai Medical Center, a stockholder of Capricor, will purchase 312,500 shares from Capricor directly, in a concurrent registered direct offering. The proceeds to Capricor from the offerings are expected to be approximately $10 million.

 

ROTH Capital Partners acted as Joint Book-Running Manager in the offering.

 

About Capricor Therapeutics, Inc.
Capricor Therapeutics, Inc. (NASDAQ: CAPR) is a clinical-stage biotechnology company focused on the discovery, development and commercialization of biological therapies for the treatment of cardiac and other serious medical conditions. Capricor's lead candidate, CAP-1002, is a cardiac cell therapy that is currently being evaluated for the treatment of heart disease associated with Duchenne muscular dystrophy and myocardial infarction (heart attack). Capricor is advancing its proprietary exosome product candidate, CAP-2003, for the treatment of ophthalmic disorders and is exploring other therapeutic areas. Capricor's portfolio also features Cenderitide, a dual natriuretic peptide receptor agonist, which may have application for the outpatient treatment of advanced heart failure and other potential indications. For more information, visit http://capricor.com. (Source: Company Press Release | 9/16/16)

 

About ROTH Capital Partners

ROTH Capital Partners, LLC (ROTH), is a relationship-driven investment bank focused on serving emerging growth companies and their investors. As a full-service investment bank, ROTH provides capital raising, M&A advisory, analytical research, trading, market-making services and corporate access. Headquartered in Newport Beach, CA, ROTH is privately-held and employee owned, and maintains offices throughout the U.S. For more information on ROTH, please visit www.roth.com.

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The material, information and  facts discussed in this announcement other than the information regarding ROTH Capital Partners, LLC ("ROTH") and its affiliates, are from sources believed to be reliable, but are in no way guaranteed to be complete or accurate. This announcement should not be used as a complete analysis of any companies, securities or topics discussed herein. Additional information is available upon request. This is not, however, an offer or solicitation of the securities discussed. Any opinions or estimates in this announcement are subject to change without notice. An investment in any security based on this announcement may involve risks and uncertainties that could cause actual results to differ materially from the forward-looking statements. Additionally, such investments may involve a high degree of risk and may not be suitable for all investors. No part of this announcement may be reproduced in any form without the express written permission of ROTH. Copyright 2016.