SEC Form 4 · accession 0001140361-17-026108
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles S. Ryan
Director
Period of report
Jun 23, 2017
Accepted (ET)
Jun 26, 2017 · 5:06 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 | — | — | — | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF4 | $3.35 | Jun 23, 2017 | A | 100,000 | A | — | Jun 23, 2027 | Common Stock | 100,000 | 100,000 | D |
| OptionF1 | $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 |
| OptionF2 | $4.70 | holding | — | — | — | — | Sep 4, 2025 | Common Stock | 20,000 | 20,000 | D |
| OptionF3 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 46,000 | 46,000 | D |
| Warrant | $4.00 | holding | — | — | — | Mar 1, 2017 | Mar 1, 2022 | Common Stock | 26,667 | 26,667 | D |
Explanation of responses
- F1The option vests to the extent of 5,000 shares on each of April 6, 2016, April 6, 2017 and April 6, 2018.
- F2The 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.
- F3The 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.
- F4The option is exercisable to the extent of 33,334 shares on June 23, 2017, and 33,333 shares on each of June 23, 2018 and June 23, 2019.