SEC Form 4 · accession 0001140361-18-002638
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam D. Bergstein
Officer — SVP, Planning and Business Dev
Period of report
Jan 19, 2018
Accepted (ET)
Jan 19, 2018 · 5:40 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 | holding | — | — | — | 2 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $3.40 | Jan 19, 2018 | A | 500,000 | A | — | Jan 19, 2028 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1The option vests and becomes exercisable on the date on which the initial patient recruitment for the Company's Phase II lumbar clinical trial or comparable product occurs.