SEC Form 4 · accession 0001567619-18-004791
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Weinreb
Officer — CEO and Chairman of the Board · Director · 10% Owner
Period of report
Oct 29, 2018
Accepted (ET)
Oct 30, 2018 · 4:51 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 | — | — | — | 80,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF9 | $1.23 | Oct 29, 2018 | A | 275,000 | A | — | Oct 29, 2028 | Common Stock | 275,000 | 275,000 | D |
| Stock Option | $4.70 | holding | — | — | — | Dec 15, 2010 | Dec 14, 2020 | Common Stock | 4,000 | 4,000 | D |
| Stock OptionF1 | $4.70 | holding | — | — | — | — | Feb 9, 2022 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF2 | $4.70 | holding | — | — | — | — | Dec 7, 2022 | Common Stock | 20,000 | 20,000 | 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 | 50,000 | 50,000 | D |
| Stock OptionF5 | $4.70 | holding | — | — | — | — | Oct 23, 2024 | Common Stock | 150,000 | 150,000 | D |
| Stock OptionF6 | $4.70 | holding | — | — | — | — | Sep 4, 2025 | Common Stock | 208,000 | 208,000 | D |
| Stock OptionF7 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 275,000 | 275,000 | D |
| Stock OptionF8 | $3.35 | holding | — | — | — | — | Jun 23, 2027 | Common Stock | 275,000 | 275,000 | D |
Explanation of responses
- F1The option is exercisable to the extent of 16,667 shares on each of February 10, 2012 and February 10, 2013 and 16,666 shares on February 10, 2014.
- F2The option is exercisable to the extent of 10,000 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 16,667 shares on each of February 18, 2014 and February 18, 2015 and 16,666 shares on February 18, 2016.
- F5The option is exercisable to the extent of 50,000 shares on each of October 23, 2015, October 23, 2016 and October 23, 2017.
- F6The option is exercisable to the extent of 104,000 shares on December 22, 2015, 34,667 shares on each of September 4, 2016 and September 4, 2017, and 34,666 shares on September 4, 2018.
- F7The option is exercisable to the extent of 91,667 shares on each of June 10, 2016 and June 10, 2017, and 91,666 shares on June 10, 2018.
- F8The option is exercisable to the extent of 91,667 shares on each of June 23, 2017 and June 23, 2018, and 91,666 shares on June 23, 2019.
- F9The option is exercisable to the extent of 91,667 shares on each of October 29, 2018 and October 29, 2019, and 91,666 shares on October 29, 2020.