SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person* St. John Edward A. (Last) (First) (Middle) 2560 LORD BALTIMORE DRIVE (Street) COLUMBIA MD 21244 (City) (State) (Zip)	2. Date of Event Requiring Statement (Month/Day/Year) 11/20/2013	3. Issuer Name and Ticker or Trading Symbol CAPRICOR THERAPEUTICS, INC. [ CAPR ]
		4. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director X 10% Owner Officer (give title below) Other (specify below)	5. If Amendment, Date of Original Filed (Month/Day/Year)
			6. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person X Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	1,556,141	D(1)
Common Stock	1,556,141	I	See Footnote(2)
Common Stock	1,556,141	I	See Footnote(3)
Common Stock	54,602	D(4)
Common Stock	324,196	I	See Footnote(5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

1. Name and Address of Reporting Person* St. John Edward A. (Last) (First) (Middle) 2560 LORD BALTIMORE DRIVE (Street) COLUMBIA MD 21244 (City) (State) (Zip)

1. Name and Address of Reporting Person* MD BTI, LLC (Last) (First) (Middle) 2560 LORD BALTIMORE DRIVE (Street) COLUMBIA MD 21244 (City) (State) (Zip)

1. Name and Address of Reporting Person* Edward St. John, LLC (Last) (First) (Middle) 2560 LORD BALTIMORE DRIVE (Street) COLUMBIA MD 21244 (City) (State) (Zip)

Explanation of Responses:

1. This Form 3 is filed jointly by Edward A. St. John, MD BTI, LLC ("MD BTI"), and Edward St. John, LLC ("St. John LLC"). The shares reported here are owned directly by MD BTI.

2. St. John LLC is the company manager of MD BTI. Accordingly, St. John LLC is the indirect beneficial owner of the shares reported here. St. John LLC disclaims beneficial ownership of these shares except to the extent of its pecuniary interest in the shares.

3. Mr. St. John is the sole member and general manager of St. John LLC, the company manager of MD BTI. Accordingly, Mr. St. John is the indirect beneficial owner of the shares reported here. Mr. St. John disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in the shares.

4. These shares are owned directly by Mr. St. John.

5. These shares are owned directly by MD BTI, Inc., of which Mr. St. John is the President and a stockholder. Accordingly, Mr. St. John is the indirect beneficial owner of these shares. Mr. St. John disclaims beneficial ownership of these shares except to the extent of his pecuniary interest in the shares.

Remarks:

Exhibit List: Exhibit 24.1 - Power of Attorney for Edward A. St. John, Exhibit 24.2 - Power of Attorney for MD BTI, LLC and Exhibit 24.3 - Power of Attorney for Edward St. John, LLC

	/s/ Joseph P. Ward , attorney-in-fact	09/12/2014
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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