SEC Form 4 · accession 0001567619-18-004859
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mandy D. Clyde
Officer — VP of Operations
Period of report
Oct 29, 2018
Accepted (ET)
Oct 31, 2018 · 4:00 pm 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF11 | $1.23 | Oct 29, 2018 | A | 50,000 | A | — | Oct 29, 2028 | Common Stock | 50,000 | 50,000 | D |
| Stock Option | $4.70 | holding | — | — | — | Dec 15, 2010 | Dec 14, 2020 | Common Stock | 4,000 | 4,000 | D |
| Stock OptionF1 | $4.70 | holding | — | — | — | — | Apr 20, 2021 | Common Stock | 300 | 300 | D |
| Stock OptionF2 | $4.70 | holding | — | — | — | — | Feb 9, 2022 | Common Stock | 1,500 | 1,500 | D |
| Stock OptionF3 | $4.70 | holding | — | — | — | — | Dec 7, 2022 | Common Stock | 2,500 | 2,500 | D |
| Stock OptionF4 | $4.70 | holding | — | — | — | — | Oct 4, 2023 | Common Stock | 4,000 | 4,000 | D |
| Stock OptionF5 | $4.70 | holding | — | — | — | — | Feb 18, 2024 | Common Stock | 6,250 | 6,250 | D |
| Stock OptionF6 | $4.70 | holding | — | — | — | — | Oct 23, 2024 | Common Stock | 10,000 | 10,000 | D |
| Stock OptionF7 | $4.70 | holding | — | — | — | — | Sep 4, 2025 | Common Stock | 25,500 | 25,500 | D |
| Stock OptionF8 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 40,000 | 40,000 | D |
| Stock OptionF9 | $2.80 | holding | — | — | — | — | Jul 12, 2027 | Common Stock | 30,000 | 30,000 | D |
| Stock OptionF10 | $3.35 | holding | — | — | — | — | Aug 10, 2027 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The option is exercisable to the extent of 100 shares on each of April 21, 2011, April 21, 2012 and April 21, 2013.
- F10The option is exercisable to the extent of 6,667 shares on each of August 10, 2018 and August 10, 2019, and 6,666 shares on August 10, 2020.
- F11The option is exercisable to the extent of 16,667 shares on each of October 29, 2019 and October 29, 2020, and 16,666 shares on October 29, 2021.
- F2The option is exercisable to the extent of 750 shares on each of February 10, 2012 and February 10, 2013.
- F3The option is exercisable to the extent of 1,250 shares on each of December 7, 2012 and December 7, 2013.
- F4The option is exercisable to the extent of 2,000 shares on each of October 4, 2013 and October 4, 2014.
- F5The option is exercisable to the extent of 2,084 shares on February 18, 2014, and 2,083 shares on each of February 18, 2015 and February 18, 2016.
- F6The option is exercisable to the extent of 3,334 shares on October 23, 2015 and 3,333 shares on each of October 23, 2016 and October 23, 2017.
- F7The option is exercisable to the extent of 8,500 shares on each of September 4, 2016, September 4, 2017 and September 4, 2018.
- F8The option is exercisable to the extent of 13,334 shares on June 10, 2017 and 13,333 shares on each of June 10, 2018 and June 10, 2019.
- F9The option is exercisable to the extent of 10,000 shares on each of July 12, 2018, July 12, 2019 and July 12, 2020.