CAPRICOR THERAPEUTICS, INC. Contracts & Agreements

Underwriting Agreement, dated October 16, 2024, by and among Capricor Therapeutics, Inc., Piper Sandler & Co. and Oppenheimer & Co. Inc (Filed With SEC on October 17, 2024)

Subscription Agreement (Filed With SEC on September 17, 2024)

Registration Rights Agreement (Filed With SEC on September 17, 2024)

Letter of Intent (Filed With SEC on September 17, 2024)

Description of the Companys Common Stock, par value $0.001 per share (Filed With SEC on March 11, 2024)

Form of Warrant (Filed With SEC on September 29, 2023)

Form of Securities Purchase Agreement (Filed With SEC on September 29, 2023)

Description of the Companys Common Stock, par value $0.001 per share (Filed With SEC on March 17, 2023)

Japan Commercialization and Distribution Agreement, dated as of February 10, 2023, by and among Capricor Therapeutics, Inc., Capricor, Inc. and Nippon Shinyaku Co. Ltd (Filed With SEC on March 17, 2023)

Description of the Companys Common Stock, par value $0.001 per share (Filed With SEC on March 11, 2022)

Standard Industrial/Commercial Multi-Tenant Lease, dated as of July 16, 2021, by and between Capricor Therapeutics, Inc. and Altman Investment Company, LLC (Filed With SEC on March 11, 2022)

Commercialization and Distribution Agreement, dated as of January 25, 2022, by and among Capricor Therapeutics, Inc., Capricor, Inc. and Nippon Shinyaku Co. Ltd (Filed With SEC on March 11, 2022)

Exclusive License Agreement, dated as of April 28, 2021, by and between Capricor, Inc. and Johns Hopkins University (Filed With SEC on August 13, 2021)

Capricor Therapeutics, Inc. 2021 Equity Incentive Plan (Filed With SEC on August 13, 2021)

Form of Stock Option Agreement for Capricor Therapeutics, Inc. 2021 Equity Incentive Plan (Filed With SEC on August 13, 2021)

Description of the Companys Common Stock, par value $0.001 per share (Filed With SEC on March 15, 2021)

Seventh Amendment to Exclusive License Agreement, dated as of August 20, 2020, by and between Capricor, Inc. and Cedars-Sinai Medical Center (Filed With SEC on November 13, 2020)

Form of Common Stock Purchase Warrant, issued by the Company to the Exercising Holder on March 25, 2020 (Filed With SEC on May 15, 2020)

Form of Common Stock Purchase Warrant, issued by the Company to certain employees of the placement agent on March 27, 2020 (Filed With SEC on May 15, 2020)

Description of the Companys Common Stock, par value $0.001 per share (Filed With SEC on March 27, 2020)

Letter Agreement dated March 25, 2020 (Filed With SEC on March 26, 2020)

Form of Securities Purchase Agreement (Filed With SEC on December 18, 2019)

Form of Placement Agency Agreement (Filed With SEC on December 13, 2019)

Form of Securities Purchase Agreement (Filed With SEC on December 13, 2019)

Form of Common Warrant (Filed With SEC on December 13, 2019)

Form of Pre-Funded Warrant (Filed With SEC on December 13, 2019)

Form of Placement Agent Warrant (Filed With SEC on December 13, 2019)

Restated and Amended Employment Agreement by and among Capricor Therapeutics, Inc., Capricor, Inc. and Linda Marbn, dated June 5, 2019 (Filed With SEC on August 8, 2019)

Employment Agreement by and among Capricor Therapeutics, Inc., Capricor, Inc. and Anthony J. Bergmann, dated May 14, 2019 (Filed With SEC on August 8, 2019)

Employment Agreement by and among Capricor Therapeutics, Inc., Capricor, Inc. and Karen G. Krasney, dated May 14, 2019 (Filed With SEC on August 8, 2019)

Common Stock Sales Agreement, dated July 22, 2019, between Capricor Therapeutics, Inc. and H.C. Wainwright & Co., LLC (Filed With SEC on July 22, 2019)

Fourth Amendment to Amended and Restated Exclusive License Agreement, dated as of June 20, 2018 by and between Capricor, Inc. and Cedars-Sinai Medical Center (Filed With SEC on August 13, 2018)

Fifth Amendment to Exclusive License Agreement, dated as of June 20, 2018, by and between Capricor, Inc. and Cedars-Sinai Medical Center (Filed With SEC on August 13, 2018)

Fourth Amendment to Exclusive License Agreement, dated as of December 26, 2017, by and between Capricor, Inc. and Cedars-Sinai Medical Center (Filed With SEC on March 22, 2018)

Third Amendment to Exclusive License Agreement, dated as of December 26, 2017, by and between Capricor, Inc. and Cedars-Sinai Medical Center (Filed With SEC on March 22, 2018)

Amendment No. 3 to the CIRM Notice of Loan Award, dated December 11, 2017 (Filed With SEC on December 12, 2017)

Amendment No. 1 to the CIRM Award, dated August 8, 2017 (Filed With SEC on November 14, 2017)

First Amendment to Facilities Lease, dated August 10, 2017 (Filed With SEC on November 14, 2017)

Common Stock Sales Agreement, dated October 19, 2017, between Capricor Therapeutics, Inc. and H.C. Wainwright & Co., LLC (Filed With SEC on October 19, 2017)

AMENDMENTTO NOTICE OF LOAN AWARD – RFA 10-05A - CIRM Disease Team Therapy Development Awards - Part II Research Award CaliforniaInstitute for Regenerative Medicine (Filed With SEC on June 13, 2017)

SUBSCRIPTION AGREEMENT (Filed With SEC on May 9, 2017)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on May 9, 2017)

CAPRICORTHERAPEUTICS, INC. $5,000,000 cOMMON STOCK SALES AGREEMENT (Filed With SEC on March 31, 2017)

SECOND AMENDMENT TO AMENDED AND RESTATED EXCLUSIVE LICENSEAGREEMENT (Filed With SEC on November 14, 2016)

THIRD AMENDMENT TO EXCLUSIVE LICENSEAGREEMENT (Filed With SEC on November 14, 2016)

2,687,500 Shares CAPRICOR THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENT (Filed With SEC on September 16, 2016)

SUBSCRIPTION AGREEMENT (Filed With SEC on September 16, 2016)

AMENDMENT TO NOTICE OF LOAN AWARD –RFA 10-05A - CIRM Disease Team Therapy Development Awards - Part II Research Award California Institute for Regenerative Medicine (Filed With SEC on August 15, 2016)

THIRD AMENDMENT TO LEASE (Filed With SEC on August 15, 2016)

SIGN AND RETURN ALL PAGES TO CIRM CLIN2-08334 NOTICE OF AWARD – CLIN 2: CIRM ClinicalTrial Stage Projects California Institute for Regenerative Medicine (Filed With SEC on August 15, 2016)

Loan Election Agreement Between the California Institute for RegenerativeMedicine and Capricor, Inc. (Filed With SEC on August 15, 2016)

EMPLOYMENT AGREEMENT (Filed With SEC on March 30, 2016)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on March 16, 2016)

CAPRICOR THERAPEUTICS, INC. WARRANT TO PURCHASE COMMON STOCK (Filed With SEC on March 16, 2016)

SUBSCRIPTION AGREEMENT (Filed With SEC on March 16, 2016)

JOINDERAGREEMENT (Filed With SEC on November 13, 2015)

EMPLOYMENT AGREEMENT (Filed With SEC on November 13, 2015)

SECOND AMENDMENT TO EXCLUSIVE LICENSEAGREEMENT (Filed With SEC on August 14, 2015)

THISLEASE IS NOT TO BE CONSTRUED AS AN OFFER AND IS NOT BINDING ON THE BUBBLE REAL ESTATE COMPANY, LLC. UNTIL IT IS SIGNED BY AN OFFICEROF THE BUBBLE REAL ESTATE COMPANY, LLC.... (Filed With SEC on August 14, 2015)

FIRST AMENDMENT TO LEASE (Filed With SEC on August 14, 2015)

TRANSFER AGREEMENT (Filed With SEC on March 6, 2015)

EMPLOYMENT AGREEMENT (Filed With SEC on March 6, 2015)

FIRST AMENDMENT TO EXCLUSIVE LICENSE AGREEMENT (Filed With SEC on March 6, 2015)

SECONDAMENDMENTTO LEASE (Filed With SEC on March 6, 2015)

SHARE PURCHASE AGREEMENT (Filed With SEC on February 6, 2015)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on February 6, 2015)

AMENDMENT TO SHARE PURCHASE AGREEMENT (Filed With SEC on February 6, 2015)

SHARE PURCHASE AGREEMENT (Filed With SEC on January 22, 2015)

REGISTRATION RIGHTS AGREEMENT (Filed With SEC on January 22, 2015)

CAPRICOR, INC. 2012 RESTATED EQUITYINCENTIVE PLAN (Filed With SEC on November 6, 2014)

EXCLUSIVE LICENSE AGREEMENT (Filed With SEC on May 23, 2014)

FACILITIES LEASE between CEDARS-SINAI MEDICALCENTER, a California nonprofitpublic benefit corporation and Capricor, Inc. a Delaware corporation (Filed With SEC on May 15, 2014)

EMPLOYMENTAGREEMENT (Filed With SEC on March 31, 2014)

CONSULTING AGREEMENT (Filed With SEC on March 31, 2014)

NILE THERAPEUTICS, INC. 63 Bovet Road, Suite421 San Mateo, CA 94402 (Filed With SEC on March 31, 2014)

INDEMNIFICATION AGREEMENT (Filed With SEC on March 31, 2014)

LICENSE AGREEMENT (Filed With SEC on March 31, 2014)

EXCLUSIVE LICENSEAGREEMENT BETWEEN THE JOHNS HOPKINSUNIVERSITY & CAPRICOR, INC. ________________________ JHU Ref: DM –4562 (Filed With SEC on March 31, 2014)

AGREEMENT TO AMEND EXCLUSIVE LICENSEAGREEMENT (Filed With SEC on March 31, 2014)

SECOND AMENDMENT TO LICENSE AGREEMENT (Filed With SEC on March 31, 2014)

Amendedand Restated TechnologyLicense Agreement (Filed With SEC on March 31, 2014)

AMENDED AND RESTATED EXCLUSIVE LICENSE AGREEMENT (Filed With SEC on March 31, 2014)

COLLABORATION AGREEMENT AND LICENSE OPTION (Filed With SEC on March 31, 2014)

CALIFORNIA INSTITUTE FOR REGENERATIVEMEDICINE LOAN AGREEMENT (Filed With SEC on March 31, 2014)

SIGN AND RETURN THIS PAGE TOCIRM DR2A-05735 NOTICE OF LOAN AWARD – CIRM RFA10-05: Disease Team Therapy Development Research Awards California Institute for RegenerativeMedicine (Filed With SEC on March 31, 2014)

FACILITIESLEASE between CEDARS-SINAI MEDICALCENTER, a California nonprofitcorporation and Capricor Inc. a Delaware corporation FACILITIES LEASE (Filed With SEC on March 31, 2014)

THISLEASE IS NOT TO BE CONSTRUED AS AN OFFER AND IS NOT BINDING ON THE BUBBLE REAL ESTATE COMPANY, LLC. UNTIL IT IS SIGNED BY AN OFFICER OF THE BUBBLE REAL ESTATE COMPANY, LLC.... (Filed With SEC on March 31, 2014)

FIRST AMENDMENT TO LEASE (Filed With SEC on March 31, 2014)

SUBLEASE (Filed With SEC on March 31, 2014)

FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER AND REORGANIZATION (Filed With SEC on October 3, 2013)

[FORM OF] FIRST AMENDMENT TO NILE THERAPEUTICS, INC. SECURED CONVERTIBLE PROMISSORY NOTES (Filed With SEC on October 3, 2013)

AGREEMENT AND PLAN OF MERGER AND REORGANIZATION by and among NILE THERAPEUTICS, INC., BOVET MERGER CORP., and CAPRICOR, INC. DATED JULY 7, 2013 (Filed With SEC on July 9, 2013)

NILE THERAPEUTICS, INC. SECUREDCONVERTIBLE PROMISSORY NOTE (Filed With SEC on March 22, 2013)

CONVERTIBLE NOTE PURCHASE AGREEMENT (Filed With SEC on March 22, 2013)

SECURITY AGREEMENT (Filed With SEC on March 22, 2013)

CONSULTING AGREEMENT (Filed With SEC on August 14, 2012)

NILE THERAPEUTICS, INC. 3,350,000 shares of Common Stock and Warrants to purchase up to 2,512,500shares of Common Stock PLACEMENT AGENT AGREEMENT (Filed With SEC on April 2, 2012)

NILETHERAPEUTICS, INC. WarrantTo Purchase Common Stock (Filed With SEC on April 2, 2012)

[To be separately provided to the Investor] (Filed With SEC on April 2, 2012)

NILE THERAPEUTICS, INC. WARRANT TO PURCHASE COMMON STOCK (Filed With SEC on June 24, 2011)

SECURITIES PURCHASE AGREEMENT (Filed With SEC on June 24, 2011)

CLINICAL TRIAL FUNDING AGREEMENT (Filed With SEC on May 16, 2011)

Exhibit1.1 NILETHERAPEUTICS, INC. 6,500,000UNITS EACHCONSISTING OF ONE (1) SHARE OF COMMON STOCK AND THREETENTHS (0.3) OF A WARRANT TO PURCHASE COMMON STOCK UNDERWRITINGAGREEMENT (Filed With SEC on April 22, 2010)

Exhibit4.1 WARRANTAGREEMENT (Filed With SEC on April 22, 2010)

NILETHERAPEUTICS, INC. REPRESENTATIVESWARRANT 390,000shares of Common Stock April21, 2010 (Filed With SEC on April 22, 2010)

NILETHERAPEUTICS, INC. FORMOF INDEMNIFICATION AGREEMENT (Filed With SEC on March 3, 2010)

SERVICES AGREEMENT (Filed With SEC on August 13, 2009)

NILE THERAPEUTICS, INC. DIRECTOR COMPENSATION PLAN SUMMARY (Filed With SEC on July 24, 2009)

[FORM OF] SECURITIES PURCHASE AGREEMENT (Filed With SEC on July 13, 2009)

NILE THERAPEUTICS, INC. INDEMNIFICATION AGREEMENT (Filed With SEC on June 25, 2009)

SEPARATION AGREEMENT AND GENERAL RELEASE (Filed With SEC on June 12, 2009)

NILE THERAPEUTICS, INC. AMENDMENT OF EMPLOYMENT AGREEMENT (Filed With SEC on March 12, 2009)

Page 1 (Filed With SEC on March 12, 2009)

TECHNOLOGY LICENSEAGREEMENT (Filed With SEC on August 14, 2008)

Offer Letter (Filed With SEC on May 1, 2008)

115 SANSOME STREET OFFICE LEASE SAN FRANCISCO, CALIFORNIA (Filed With SEC on March 5, 2008)

NILE THERAPEUTICS, INC. AMENDMENT OF EMPLOYMENT AGREEMENT (Filed With SEC on March 5, 2008)

NILE THERAPEUTICS, INC. AMENDMENT OF INCENTIVE STOCK OPTION AGREEMENT (Filed With SEC on March 5, 2008)

Incorporated under the laws of the State of Delaware -[CERT #]- *[NUMBER OF SHARES]* NILE THERAPEUTICS, INC. COMMON STOCK 100,000,000 Authorized (Filed With SEC on September 21, 2007)

THIS WARRANT AND THE SHARES OF COMMON STOCK ISSUED UPON ITS EXERCISE ARE SUBJECT TO THE RESTRICTIONS ON TRANSFER SET FORTH IN SECTION 5 OF THIS WARRANT (Filed With SEC on September 21, 2007)

EMPLOYMENT AGREEMENT (Filed With SEC on September 21, 2007)

Amendment No. 1 to EMPLOYMENT AGREEMENT (Filed With SEC on September 21, 2007)

TECHNOLOGY LICENSE AGREEMENT* (Filed With SEC on September 21, 2007)

EXCLUSIVE LICENSE AGREEMENT (Filed With SEC on September 21, 2007)

LEASE AGREEMENT EXHIBIT 10.8 OFFICE LEASE TABLE OF CONTENTS (Filed With SEC on September 21, 2007)

NILE THERAPEUTICS, INC. Amended and Restated 2005 Stock Option Plan (Filed With SEC on September 21, 2007)

Nile Therapeutics, Inc. Stock Option Agreement (Non-Statutory) (Filed With SEC on September 21, 2007)

Nile Therapeutics, Inc. Incentive Stock option Agreement (Filed With SEC on September 21, 2007)

SUBSCRIPTION AGREEMENT (Filed With SEC on September 21, 2007)

SEPARATION AGREEMENT AND GENERAL RELEASE (Filed With SEC on September 21, 2007)

AGREEMENT AND PLAN OF MERGER BY AND AMONG SMI PRODUCTS, INC., NILE THERAPEUTICS, INC. AND NILE MERGER SUB, INC. (Filed With SEC on August 17, 2007)

AGREEMENT AND PLAN OF MERGER (Filed With SEC on February 9, 2007)

AMENDED AND RESTATED LOAN AGREEMENT AND CONVERTIBLE PROMISSORY NOTE (Filed With SEC on August 14, 2006)

STOCK PURCHASE AGREEMENT (Filed With SEC on August 14, 2006)

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CAPRICOR THERAPEUTICS, INC. Contracts & Agreements