Exhibit 107
Calculation of Filing Fee Tables
Form S-3
(Form Type)
Capricor Therapeutics, Inc.
(Exact Name of Registrant as Specified in its Charter)
Table 1: Newly Registered and Carry Forward Securities
| | | | | | | | | | | | | | | Filing Fee | |
| | | | | | | | | | | | | | | Previously | |
| | | | | | | | | | | | | | | Paid In | |
| | | | | | | | | | | | | | | Connection | |
| | | | | | | | | | | | | | | with | |
| | | Fee | | Proposed | | | | | | | | | Carry | Unsold | |
| | | Calculation | | Maximum | Maximum | | | | | Carry | Carry | Forward | Securities | ||
| | Security | or Carry | | Offering | Aggregate | | | Amount of | Forward | Forward | Initial | to be | |||
| Security | Class | Forward | Amount | Price Per | Offering | Fee | Registration | Form | File | Effective | Carried | ||||
| Type | Title | Rule | Registered | Unit | Price | Rate | Fee | Type | Number | date | Forward | ||||
| ||||||||||||||||
Newly Registered Securities | ||||||||||||||||
| | | | | | | | | | | | | | | | |
Fees to Be Paid | Equity | | | (1)(2) | (1) | (3) | | | | | | | | | | |
| | $0.001 per share | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Equity | Preferred Stock, par value | | (1)(2) | (1) | (3) | | | | | | | | | | |
| | $0.001 per share | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Debt | Debt Securities | | (1) | (1) | (3) | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Other | Warrants | | (1) | (1) | (3) | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Other | Units | | (1) | (1) | (3) | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Unallocated | — | Rule | (1)(2) | (1) | $ | 81,987,348.65 (3) | $ | 0.0001531 | $ | 12,552.26 (4) | | | | | |
| (Universal) | | 457(o) | | | | | | | | | | | | | |
| Shelf | | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
Fees Previously Paid | Equity | $0.001 per share | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Equity | Preferred Stock, par value | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Debt | Debt Securities | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Other | Warrants | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Other | Units | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Unallocated (Universal) Shelf | — | 457(o) | | | $ | 44,145,686 | | | $ | 6,515.90 | | | | | |
| ||||||||||||||||
Carry Forward Securities | ||||||||||||||||
| | | | | | | | | | | | | | | | |
Carry | Unallocated | — | Rule 415(a)(6) | | | $ | 23,866,966.44 | | | | | S-3 | 333-254363 | 6/16/2021 | $ | 2,603.89 |
Forward | (Universal) | | | | | | | | | | | | | | | |
Securities (5) | Shelf | | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Total Offering Amounts | | $ | 150,000,000 | | | $ | 19,068.16 | | | | | | |||
| | | | | | | | | | | | | | | | |
| Total Fees Previously Paid (6) | | | | | | $ | 6,515.90 | | | | | | |||
| | | | | | | | | | | | | | | | |
| Total Fee Offsets | | | | | | $ | — | | | | | | |||
| | | | | | | | | | | | | | | | |
| Net Fee Due | | | | | | $ | 12,552.26 | | | | | |
(1) | An unspecified number of securities or aggregate principal amount, as applicable, is being registered as may from time to time be offered at unspecified prices and, in addition, an unspecified number of additional shares of common stock is being registered as may be issued from time to time upon conversion of any debt securities that are convertible into common stock or pursuant to any anti-dilution adjustments with respect to any such convertible debt securities. |
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(2) | Includes rights to acquire common stock or preferred stock of the Company under any shareholder rights plan then in effect, if applicable under the terms of any such plan. |
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(3) | Estimated solely for the purpose of calculating the registration fee. No separate consideration will be received for shares of common stock that are issued upon conversion of debt securities or preferred stock or upon exercise of common stock warrants registered hereunder. The aggregate maximum offering price of all securities issued pursuant to this registration statement will not exceed $150,000,000. |
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(4) | The registration fee has been calculated pursuant to Rule 457(o) under the Securities Act of 1933, as amended. |
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(5) | An aggregate of $2,603.89 of the amount of the registration fee was previously paid in connection with the unissued securities registered under the Registrant’s registration statement on Form S-3 (File No. 333-254363) initially filed on March 16, 2021 (the “Prior Registration Statement”). $23,866,966.44 of securities remain unsold under the Prior Registration Statement. The Registrant is allowed to apply $2,603.89 toward the registration fee for this registration statement in reliance on Rule 415(a)(6), because $23,866,966.44 of unsold securities (and associated fees) are being moved from the Prior Registration Statement to this registration statement. Pursuant to Rule 415(a)(6), the $2,603.89 registration fee previously paid by the Registrant relating to the unsold securities included on this registration statement will continue to be applied to such unsold securities. |
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(6) | $6,515.90 of the registration fee was previously paid in connection with the prior filing of this registration statement. |