Filing Details
- Accession Number:
- 0001567619-21-020924
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-22 12:17:54
- Reporting Period:
- 2021-11-19
- Accepted Time:
- 2021-11-22 12:17:54
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1505497 | Biorestorative Therapies Inc. | BRTX | Services-Misc Health & Allied Services, Nec (8090) | 911835664 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1527241 | Francisco Silva | 40 Marcus Drive Melville NY 11747 | Vp Of Research And Development | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-11-19 | 4,000 | $6.66 | 11,829 | No | 4 | P | Indirect | IRA |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | IRA |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 148,848 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $3,000.00 | 2022-02-09 | 1 | 1 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2022-05-02 | 1 | 1 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2022-12-07 | 1 | 1 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2023-10-04 | 1 | 1 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2024-02-18 | 3 | 3 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2014-03-12 | 2024-03-11 | 1 | 1 | Direct |
| Common Stock | Stock Option | $3,000.00 | 2014-04-14 | 2022-05-02 | 1 | 1 | Direct |
| Common Stock | Stock Option | $3,000.00 | 2024-10-23 | 9 | 9 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2025-09-04 | 6 | 6 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2026-06-10 | 15 | 15 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2027-07-12 | 20 | 20 | Direct | |
| Common Stock | Stock Option | $3,000.00 | 2028-10-29 | 25 | 25 | Direct | |
| Common Stock | Stock Option | $13.50 | 2031-03-18 | 293,479 | 293,479 | Direct | |
| Common Stock | Stock Option | $13.50 | 2031-11-04 | 42,059 | 42,059 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-02-09 | 1 | 1 | Direct |
| 2022-05-02 | 1 | 1 | Direct |
| 2022-12-07 | 1 | 1 | Direct |
| 2023-10-04 | 1 | 1 | Direct |
| 2024-02-18 | 3 | 3 | Direct |
| 2024-03-11 | 1 | 1 | Direct |
| 2022-05-02 | 1 | 1 | Direct |
| 2024-10-23 | 9 | 9 | Direct |
| 2025-09-04 | 6 | 6 | Direct |
| 2026-06-10 | 15 | 15 | Direct |
| 2027-07-12 | 20 | 20 | Direct |
| 2028-10-29 | 25 | 25 | Direct |
| 2031-03-18 | 293,479 | 293,479 | Direct |
| 2031-11-04 | 42,059 | 42,059 | Direct |
Footnotes
- Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.
- The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $6.605 to $6.81, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.
- The option is currently exercisable.
- The option vests and becomes exercisable to the extent of 146,740 shares on March 18, 2021, 36,684 shares on November 4, 2021 and the remaining 110,055 shares in six nearly equal quarterly installments beginning December 18, 2021 and continuing every three months thereafter until fully vested.
- The option vests and becomes exercisable to the extent of 21,030 shares on November 4, 2021 with the remaining 21,029 shares vesting quarterly in eight nearly equal installments beginning on November 4, 2022.
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