Filing Details
- Accession Number:
- 0001021771-23-000088
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-09-06 17:53:45
- Reporting Period:
- 2023-09-06
- Accepted Time:
- 2023-09-06 17:53:45
- 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 |
---|---|---|---|---|---|---|---|
1756228 | Lance Alstodt | Biorestorative Therapies, Inc. 40 Marcus Drive, Suite 1 Melville NY 11747 | President, Ceo, Cob | No | No | 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 | 2023-09-06 | 2,887 | $1.96 | 187,305 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option | $5.08 | 2031-03-18 | 293,479 | 293,479 | Direct | |
Common Stock | Stock Option | $5.08 | 2031-11-04 | 42,059 | 42,059 | Direct | |
Common Stock | Stock Option | $2.91 | 2033-02-17 | 106,762 | 106,762 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2031-03-18 | 293,479 | 293,479 | Direct |
2031-11-04 | 42,059 | 42,059 | Direct |
2033-02-17 | 106,762 | 106,762 | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $1.93 to $2.02 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.
- Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.
- 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 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 and 21,029 shares in eight nearly equal quarterly installments beginning November 4, 2022 and continuing every three months thereafter until fully vested.
- The option vests and becomes exercisable to the extent of 53,381 shares on February 17, 2023 and 53,381 shares in eight nearly equal quarterly installments beginning February 17, 2024 and continuing every three months thereafter until fully vested.