SEC Form 4 · accession 0001567619-18-004780
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Jude Tonna
Director
Period of report
Oct 29, 2018
Accepted (ET)
Oct 30, 2018 · 4:26 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 | — | — | — | 36,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF7 | $1.23 | Oct 29, 2018 | A | 75,000 | A | — | Oct 29, 2028 | Common Stock | 75,000 | 75,000 | D |
| OptionF1 | $4.70 | holding | — | — | — | — | Jun 27, 2024 | Common Stock | 15,000 | 15,000 | D |
| WarrantF2 | $15.00 | holding | — | — | — | Aug 1, 2014 | Jul 11, 2019 | Common Stock | 1,400 | 1,400 | D |
| WarrantF2 | $15.00 | holding | — | — | — | Aug 1, 2014 | Jul 31, 2019 | Common Stock | 100 | 100 | D |
| OptionF3 | $4.70 | holding | — | — | — | — | Oct 23, 2024 | Common Stock | 25,000 | 25,000 | D |
| OptionF4 | $4.70 | holding | — | — | — | — | Sep 4, 2025 | Common Stock | 60,000 | 60,000 | D |
| OptionF5 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 64,000 | 64,000 | D |
| Warrant | $4.00 | holding | — | — | — | Mar 1, 2017 | Mar 1, 2022 | Common Stock | 30,000 | 30,000 | D |
| Stock OptionF6 | $3.35 | holding | — | — | — | — | Jun 23, 2027 | Common Stock | 125,000 | 125,000 | D |
Explanation of responses
- F1The option vests to the extent of 5,000 shares on each of June 27, 2014, June 27, 2015 and June 27, 2016.
- F2Owned jointly with wife.
- F3The option is exercisable to the extent of 8,334 shares on October 23, 2015 and 8,333 shares on each of October 23, 2016 and October 23, 2017.
- F4The option is exercisable to the extent of 30,000 shares on December 22, 2015 and 10,000 shares on each of September 4, 2016, September 4, 2017 and September 4, 2018.
- F5The option is exercisable to the extent of 21,334 shares on June 10, 2016, and 21,333 shares on each of June 10, 2017 and June 10, 2018.
- F6The 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.
- F7The option is exercisable to the extent of 25,000 shares on each of October 29, 2018, October 29, 2019 and October 29, 2020.