SEC Form 4 · accession 0001567619-18-004864
BioRestorative Therapies, Inc. · BRTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Paccasassi
Officer — VP, Quality and Compliance
Period of report
Oct 29, 2018
Accepted (ET)
Oct 31, 2018 · 4:02 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 OptionF4 | $1.23 | Oct 29, 2018 | A | 50,000 | A | — | Oct 29, 2028 | Common Stock | 50,000 | 50,000 | D |
| Stock OptionF1 | $4.70 | holding | — | — | — | — | Aug 13, 2025 | Common Stock | 5,000 | 5,000 | D |
| Stock OptionF2 | $3.73 | holding | — | — | — | — | Jun 10, 2026 | Common Stock | 15,000 | 15,000 | D |
| Stock OptionF3 | $2.80 | holding | — | — | — | — | Jul 12, 2027 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The option is exercisable to the extent of 1,667 shares on each of August 13, 2016 and August 13, 2017, and 1,666 shares on August 13, 2018.
- F2The option is exercisable to the extent of 5,000 shares on each of June 10, 2017, June 10, 2018 and June 10, 2019.
- F3The option is exercisable to the extent of 13,334 shares on July 12, 2018, and 13,333 shares on each of July 12, 2019 and July 12, 2020.
- F4The 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.