SEC Form 4 · accession 0001140361-17-006209

BioRestorative Therapies, Inc. · BRTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

Feb 10, 2017

Accepted (ET)

Feb 13, 2017 · 4:26 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 Stock	Feb 10, 2017	A	21,731	$3.00	A	476,731	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F4	$4.00	Feb 10, 2017	A	21,731	A	Feb 10, 2017	Feb 10, 2022	Common Stock	21,731	21,731	D
Option^F1	$4.40	holding	—	—	—	—	Dec 1, 2025	Common Stock	15,000	15,000	D
Warrant	$5.00	holding	—	—	—	Dec 17, 2015	Nov 17, 2020	Common Stock	125,000	125,000	D
Warrant	$5.00	holding	—	—	—	Mar 18, 2016	Mar 18, 2021	Common Stock	250,000	250,000	D
Warrant	$4.50	holding	—	—	—	Mar 18, 2016	Dec 31, 2018	Common Stock	444,444	444,444	D
Warrant	$5.00	holding	—	—	—	Mar 18, 2016	Dec 31, 2018	Common Stock	400,000	400,000	D
Option^F2	$3.73	holding	—	—	—	—	Jun 10, 2026	Common Stock	35,000	35,000	D
Warrant^F3	$4.00	holding	—	—	—	Jun 30, 2016	Jun 30, 2021	Common Stock	40,000	40,000	I
Warrant	$4.00	holding	—	—	—	Sep 26, 2016	Sep 26, 2021	Common Stock	80,000	80,000	D

F1The option vests to the extent of 5,000 shares on each of December 1, 2016, 2017 and 2018.
F2The option vests to the extent of 11,667 shares on each of June 10, 2016 and June 10, 2017, and 11,666 shares on June 10, 2018.
F3The warrant is held by a trust established by the Reporting Person for the benefit of his immediate family. The Reporting Person serves as a trustee of the trust.
F4The warrant was issued in consideration of a concurrent acquisition by the Reporting Person from the Issuer of 21,731 shares.