SEC Form 4 · accession 0001140361-17-010429
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles S. Ryan
Director
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 12:24 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 | Mar 1, 2017 | A | 26,667 | $3.00 | A | 42,917 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1 | $4.00 | Mar 1, 2017 | A | 26,667 | A | Mar 1, 2017 | Mar 1, 2022 | Common Stock | 26,667 | 26,667 | D |
| OptionF2 | $4.70 | holding | — | — | — | — | Apr 6, 2025 | Common Stock | 15,000 | 15,000 | D |
| Warrant | $15.00 | holding | — | — | — | May 8, 2015 | May 8, 2020 | Common Stock | 2,500 | 2,500 | D |
| Warrant | $4.00 | holding | — | — | — | Dec 7, 2015 | Nov 12, 2020 | Common Stock | 6,250 | 6,250 | D |
| OptionF3 | $4.70 | holding | — | — | — | — | Sep 4, 2025 | Common Stock | 20,000 | 20,000 | D |
| OptionF4 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 46,000 | 46,000 | D |
Explanation of responses
- F1In exchange for accrued director fees.
- F2The option vests to the extent of 5,000 shares on each of April 6, 2016, April 6, 2017 and April 6, 2018.
- F3The option is exercisable to the extent of 10,000 shares on December 22, 2015, 3,334 shares on September 4, 2016, and 3,333 shares on each of September 4, 2017 and September 4, 2018.
- F4The option is exercisable to the extent of 15,334 shares on June 10, 2016 and 15,333 shares on each of June 10, 2017 and June 10, 2018.