SEC Form 4 · accession 0001140361-17-027860
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward L. Field
Officer — President brtxDISC Division
Period of report
Jul 12, 2017
Accepted (ET)
Jul 14, 2017 · 11:17 am EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF4 | $2.80 | Jul 12, 2017 | A | 110,000 | A | — | Jul 12, 2027 | Common Stock | 110,000 | 110,000 | D |
| OptionF1 | $4.70 | holding | — | — | — | — | Feb 9, 2025 | Common Stock | 25,000 | 25,000 | D |
| OptionF2 | $4.70 | holding | — | — | — | — | Sep 4, 2025 | Common Stock | 25,000 | 25,000 | D |
| OptionF3 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 80,000 | 80,000 | D |
Explanation of responses
- F1The option vests to the extent of 8,334 shares on February 9, 2016 and 8,333 shares on each of February 9, 2017 and February 9, 2018.
- F2The option is exercisable to the extent of 8,334 shares on September 4, 2016 and 8,333 shares on each of September 4, 2017 and September 4, 2018.
- F3The option is exercisable to the extent of 26,667 shares on each of June 10, 2017 and June 10, 2018, and 26,666 shares on June 10, 2019.
- F4The option is exercisable to the extent of 36,667 shares on each of July 12, 2018 and July 12, 2019, and 36,666 shares on July 12, 2020.