SEC Form 4 · accession 0001140361-15-000412
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph B Swiader
Director
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 4:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001505497
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 31, 2014 | A | 10,000 | $0.50 | A | 136,786 | I | By Wet Earth Partners LLC |
| Common Stock | holding | — | — | — | 20,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF2 | $0.285 | holding | — | — | — | — | Jun 27, 2024 | Common Stock | 300,000 | 300,000 | D |
| Warrant | $0.75 | holding | — | — | — | Jun 30, 2014 | Jun 30, 2019 | Common Stock | 25,000 | 25,000 | I |
| OptionF3 | $0.33 | holding | — | — | — | — | Oct 23, 2024 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1Shares issued as compensation pursuant to Consulting Agreement.
- F2The option vests to the extent of 100,000 shares on each of June 27, 2014, 2015 and 2016.
- F3The option is exercisable to the extent of 166,667 shares on each of October 23, 2015 and 2016 and 166,666 shares on October 23, 2017.