SEC Form 4 · accession 0001140361-17-026102
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
A. Jeffrey Radov
Director
Period of report
Jun 23, 2017
Accepted (ET)
Jun 26, 2017 · 4:57 pm EDT
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 | holding | — | — | — | 12,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF8 | $3.35 | Jun 23, 2017 | A | 125,000 | A | — | Jun 23, 2027 | Common Stock | 125,000 | 125,000 | D |
| Stock OptionF1 | $4.70 | holding | — | — | — | — | Feb 9, 2022 | Common Stock | 30,000 | 30,000 | D |
| Stock OptionF2 | $4.70 | holding | — | — | — | — | Dec 7, 2022 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionF3 | $4.70 | holding | — | — | — | — | Oct 4, 2023 | Common Stock | 12,500 | 12,500 | D |
| Stock OptionF4 | $4.70 | holding | — | — | — | — | Feb 18, 2024 | Common Stock | 25,000 | 25,000 | D |
| Stock OptionF5 | $4.70 | holding | — | — | — | — | Oct 23, 2024 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF6 | $4.70 | holding | — | — | — | — | Sep 4, 2025 | Common Stock | 115,500 | 115,500 | D |
| Stock OptionF7 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 128,000 | 128,000 | D |
Explanation of responses
- F1The option is exercisable to the extent of 15,000 shares on each of February 10, 2012 and February 10, 2013.
- F2The option is exercisable to the extent of 2,500 shares on each of December 7, 2012 and December 7, 2013.
- F3The option is exercisable to the extent of 6,250 shares on each of October 4, 2013 and October 4, 2014.
- F4The option is exercisable to the extent of 8,334 shares on February 18, 2014, and 8,333 shares on each of February 18, 2015 and February 18, 2016.
- F5The option is exercisable to the extent of 16,667 shares on each of October 23, 2015 and Octobe 23, 2016 and 16,666 shares on October 23, 2017.
- F6The option is exercisable to the extent of 57,750 shares on December 22, 2015, and 19,250 shares on each of September 4, 2016, September 4, 2017 and September 4, 2018.
- F7The option is exercisable to the extent of 42,667 shares on each of June 10, 2016 and June 10, 2017, and 42,666 shares on June 10, 2018.
- F8The option is exercisable to the extent of 41,667 shares on each of June 23, 2017 and June 23, 2018, and 41,666 shares on June 23, 2019.