SEC Form 4 · accession 0001140361-15-045630
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mandy D. Clyde
Officer — VP of Operations
Period of report
Dec 22, 2015
Accepted (ET)
Dec 28, 2015 · 11:16 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001505497
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF7,F8 | $7.00 | Dec 22, 2015 | A | 25,500 | A | — | Sep 4, 2025 | Common Stock | 25,500 | 25,500 | D |
| Stock Option | $10.00 | holding | — | — | — | Dec 15, 2010 | Dec 14, 2020 | Common Stock | 4,000 | 4,000 | D |
| Stock OptionF1 | $20.00 | holding | — | — | — | — | Apr 20, 2021 | Common Stock | 300 | 300 | D |
| Stock OptionF2 | $21.00 | holding | — | — | — | — | Feb 9, 2022 | Common Stock | 1,500 | 1,500 | D |
| Stock OptionF3 | $30.00 | holding | — | — | — | — | Dec 7, 2022 | Common Stock | 2,500 | 2,500 | D |
| Stock OptionF4 | $12.00 | holding | — | — | — | — | Oct 4, 2023 | Common Stock | 4,000 | 4,000 | D |
| Stock OptionF5 | $13.00 | holding | — | — | — | — | Feb 18, 2024 | Common Stock | 6,250 | 6,250 | D |
| Stock OptionF6 | $6.60 | holding | — | — | — | — | Oct 23, 2024 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1The option is exercisable to the extent of 100 shares on each of April 21, 2011, April 21, 2012 and April 21, 2013.
- F2The option is exercisable to the extent of 750 shares on each of February 10, 2012 and February 10, 2013.
- F3The option is exercisable to the extent of 1,250 shares on each of December 7, 2012 and December 7, 2013.
- F4The option is exercisable to the extent of 2,000 shares on each of October 4, 2013 and October 4, 2014.
- F5The option is exercisable to the extent of 2,084 shares on February 18, 2014, and 2,083 shares on each of February 18, 2015 and February 18, 2016.
- F6The option is exercisable to the extent of 3,334 shares on October 23, 2015 and 3,333 shares on each of October 23, 2016 and October 23, 2017.
- F7On December 22, 2015, the stockholders of the Issuer approved amendments to the Issuer's 2010 Equity Participation Plan (the "Plan") to increase the number of shares authorized to be issued pursuant to the Plan to 2,250,000. The Reporting Person had been granted the option on September 4, 2015, subject to stockholder approval of such amendments.
- F8The option is exercisable to the extent of 8,500 shares on each of September 4, 2016, September 4, 2017 and September 4, 2018.