Filing Details
- Accession Number:
- 0001567619-22-017246
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-09-09 18:17:17
- Reporting Period:
- 2022-08-26
- Accepted Time:
- 2022-09-09 18:17:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1505497 | Biorestorative Therapies Inc. | BRTX | () |
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 | Disposition | 2022-08-26 | 3,958 | $3.39 | 158,156 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-08-26 | 2,600 | $3.35 | 160,756 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2022-08-29 | 2,816 | $3.21 | 163,572 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2022-08-29 | 307 | $3.32 | 12,136 | No | 4 | P | Indirect | IRA |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | $3,000.00 | 2022-12-07 | 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 | 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 |
|---|---|---|---|
| 2022-12-07 | 1 | 1 | Direct |
| 2023-10-04 | 1 | 1 | Direct |
| 2024-02-18 | 3 | 3 | Direct |
| 2024-03-11 | 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
- Represents transaction inadvertently effected by the reporting person. This transaction was executed in multiple trades at prices ranging from $3.33 to $3.45 per share. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.
- Includes 105,081 shares received pursuant to unvested restricted stock unit grants. Such shares vest to the extent of 1,036 shares on each of September 18, 2022, November 18, 2022 and January 18, 2023, 1,037 shares on each of October 18, 2022, December 18, 2022 and February 18, 2023, 49,949 shares on March 18, 2023 and 48,913 shares on March 18, 2024.
- This transaction was executed in multiple trades at prices ranging from $3.21 to $3.2159 per share. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.
- This transaction was executed in multiple trades at prices ranging from $3.28 to $3.35 per share. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide, upon request to the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.
- 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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