SEC Form 4 · accession 0001567619-18-004860
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francisco Silva
Officer — VP of Research and Development
Period of report
Oct 29, 2018
Accepted (ET)
Oct 31, 2018 · 4:01 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 | — | — | — | 170 | I | IRA | |
| Common Stock | holding | — | — | — | 4,075 | D |
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 | 100,000 | A | — | Oct 29, 2028 | Common Stock | 100,000 | 100,000 | D |
| Stock OptionF1 | $4.70 | holding | — | — | — | — | Apr 4, 2021 | Common Stock | 4,000 | 4,000 | D |
| Stock Option | $4.70 | holding | — | — | — | Jun 24, 2011 | Jun 23, 2021 | Common Stock | 150 | 150 | D |
| Stock Option | $4.70 | holding | — | — | — | Nov 16, 2011 | Nov 15, 2021 | Common Stock | 1,000 | 1,000 | D |
| Stock OptionF2 | $4.70 | holding | — | — | — | — | Feb 9, 2022 | Common Stock | 2,000 | 2,000 | D |
| Stock OptionF3 | $4.70 | holding | — | — | — | — | May 2, 2022 | Common Stock | 5,500 | 5,500 | D |
| Stock OptionF4 | $4.70 | holding | — | — | — | — | Dec 7, 2022 | Common Stock | 4,000 | 4,000 | D |
| Stock OptionF5 | $4.70 | holding | — | — | — | — | Oct 4, 2023 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionF6 | $4.70 | holding | — | — | — | — | Feb 18, 2024 | Common Stock | 12,500 | 12,500 | D |
| Stock Option | $4.70 | holding | — | — | — | Mar 12, 2014 | Mar 11, 2024 | Common Stock | 2,000 | 2,000 | D |
| Stock Option | $4.70 | holding | — | — | — | Apr 14, 2014 | May 2, 2022 | Common Stock | 2,000 | 2,000 | D |
| Stock OptionF7 | $4.70 | holding | — | — | — | — | Oct 23, 2024 | Common Stock | 37,500 | 37,500 | D |
| Stock OptionF8 | $4.70 | holding | — | — | — | — | Sep 4, 2025 | Common Stock | 25,000 | 25,000 | D |
| Stock OptionF9 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 60,000 | 60,000 | D |
| Stock OptionF10 | $2.80 | holding | — | — | — | — | Jul 12, 2027 | Common Stock | 80,000 | 80,000 | D |
Explanation of responses
- F1The option is exercisable to the extent of 2,000 shares on each of April 5, 2011 and April 5, 2012.
- F10The option is exercisable to the extent of 26,667 shares on each of July 12, 2018 and July 12, 2019, and 26,666 shares on July 12, 2020.
- F11The option is exercisable to the extent of 33,334 shares on October 29, 2019, and 33,333 shares on each of October 29, 2020 and October 29, 2021.
- F2The option is exercisable to the extent of 1,000 shares on each of February 10, 2012 and February 10, 2013.
- F3The option is exercisable to the extent of 500 shares on each of May 3, 2013, May 3, 2014 and May 3, 2015, became exercisable to the extent of 1,000 shares based on the satisfaction of certain conditions and is exercisable to the extent of 3,000 shares subject to the satisfaction of certain conditions.
- F4The option is exercisable to the extent of 2,000 shares on each of December 7, 2012 and December 7, 2013.
- F5The option is exercisable to the extent of 2,500 shares on each of October 4, 2013 and October 4, 2014.
- F6The option is exercisable to the extent of 4,167 shares on each of February 18, 2014 and February 18, 2015, and 4,166 shares on February 18, 2016.
- F7The option is exercisable to the extent of 12,500 shares on each of October 23, 2015, October 23, 2016 and October 23, 2017.
- F8The 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.
- F9The option is exercisable to the extent of 20,000 shares on each of June 10, 2017, June 10, 2018 and June 10, 2019.