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Home/Filings/4/0001140361-17-043375
4//SEC Filing

Desmarais John M 4

Accession 0001140361-17-043375

CIK 0001505497other
View on SEC.govCompany Profile

Filed

Nov 19, 7:00 PM ET

Accepted

Nov 20, 4:27 PM ET

Size

29.5 KB

Accession

0001140361-17-043375

Insider Transaction Report

Form 4
Period: 2017-11-17
BioRestorative Therapies, Inc.BRTX
Desmarais John M
Director
Transactions
  • Disposition to Issuer

    Warrant

    2017-11-17−250,000→ 0 total
    Exercise: $5.00From: 2016-03-18Exp: 2021-03-18→ Common Stock (250,000 underlying)
  • Award

    Warrant

    2017-11-17+444,444→ 444,444 total
    Exercise: $4.00From: 2016-03-18Exp: 2018-12-31→ Common Stock (444,444 underlying)
  • Disposition to Issuer

    Warrant

    2017-11-17−400,000→ 0 total
    Exercise: $5.00From: 2016-03-18Exp: 2018-12-31→ Common Stock (400,000 underlying)
  • Disposition to Issuer

    Warrant

    2017-11-17−125,000→ 0 total
    Exercise: $5.00From: 2015-12-17Exp: 2020-11-17→ Common Stock (125,000 underlying)
  • Award

    Warrant

    2017-11-17+125,000→ 125,000 total
    Exercise: $4.00From: 2015-12-17Exp: 2020-11-17→ Common Stock (125,000 underlying)
  • Award

    Warrant

    2017-11-17+250,000→ 250,000 total
    Exercise: $4.00From: 2016-03-18Exp: 2021-03-18→ Common Stock (250,000 underlying)
  • Disposition to Issuer

    Warrant

    2017-11-17−444,444→ 0 total
    Exercise: $4.50From: 2016-03-18Exp: 2018-12-31→ Common Stock (444,444 underlying)
  • Award

    Warrant

    2017-11-17+400,000→ 400,000 total
    Exercise: $4.00From: 2016-03-18Exp: 2018-12-31→ Common Stock (400,000 underlying)
Holdings

  • Option

    Exercise: $3.73Exp: 2026-06-10→ Common Stock (35,000 underlying)
    35,000

  • Warrant

    (indirect: By Trust)
    Exercise: $4.00From: 2016-06-30Exp: 2021-06-30→ Common Stock (40,000 underlying)
    40,000

  • Option

    Exercise: $4.40Exp: 2025-12-01→ Common Stock (15,000 underlying)
    15,000

  • Warrant

    Exercise: $4.00From: 2016-09-26Exp: 2021-09-26→ Common Stock (80,000 underlying)
    80,000

  • Warrant

    Exercise: $4.00From: 2017-03-01Exp: 2022-03-01→ Common Stock (16,667 underlying)
    16,667

  • Warrant

    Exercise: $4.00From: 2017-02-10Exp: 2022-02-10→ Common Stock (21,731 underlying)
    21,731

  • Stock Option

    Exercise: $3.35Exp: 2027-06-23→ Common Stock (125,000 underlying)
    125,000

  • Common Stock

    493,398
Footnotes (5)
  • [F1]The option vests to the extent of 5,000 shares on each of December 1, 2016, 2017 and 2018.
  • [F2]The option vests to the extent of 11,667 shares on each of June 10, 2016 and June 10, 2017, and 11,666 shares on June 10, 2018.
  • [F3]The warrant is held by a trust established by the Reporting Person for the benefit of his immediate family. The Reporting Person serves as a trustee of the trust.
  • [F4]The option is exercisable to the extent of 41,667 shares on each of June 23, 2017 and June 23, 2018, and 41,666 shares on June 23, 2019.
  • [F5]The reported transactions involved an amendment of an outstanding warrant resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant at a reduced exercise price.

Documents

1 file

Issuer

BioRestorative Therapies, Inc.

CIK 0001505497

→
Entity typeother

Related Parties

1
  • filerCIK 0001659553

Filing Metadata

Form type
4
Filed
Nov 19, 7:00 PM ET
Accepted
Nov 20, 4:27 PM ET
Size
29.5 KB
View on SEC.gov