Home > Insider Trading > Filing (0001140361-16-080941)

Filing Details

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
1659553	M John Desmarais	230 Park Avenue New York NY 10169		Yes	No	Yes	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	2016-09-26	80,000	$3.00	455,000	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant	Disposition	2016-09-26	444,444	$0.00	444,444	$4.50
Common Stock	Warrant	Acquisiton	2016-09-26	444,444	$0.00	444,444	$4.50
Common Stock	Warrant	Disposition	2016-09-26	400,000	$0.00	400,000	$5.00
Common Stock	Warrant	Acquisiton	2016-09-26	400,000	$0.00	400,000	$5.00
Common Stock	Warrant	Acquisiton	2016-09-26	80,000	$0.00	80,000	$4.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2016-11-18	No	4	S	Direct
444,444		2017-11-18	No	4	P	Direct
0		2017-03-18	No	4	S	Direct
400,000		2018-03-18	No	4	P	Direct
80,000	2016-09-26	2021-09-26	No	4	P	Direct

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Option	$4.40		2025-12-01	15,000	15,000	Direct
Common Stock	Warrant	$5.00	2015-12-17	2020-11-17	125,000	125,000	Direct
Common Stock	Warrant	$5.00	2016-03-18	2021-03-18	250,000	250,000	Direct
Common Stock	Option	$3.73		2026-06-10	35,000	35,000	Direct
Common Stock	Warrant	$4.00	2016-06-30	2021-06-30	40,000	40,000	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2025-12-01	15,000	15,000	Direct
2020-11-17	125,000	125,000	Direct
2021-03-18	250,000	250,000	Direct
2026-06-10	35,000	35,000	Direct
2021-06-30	40,000	40,000	Indirect

Footnotes

The option vests to the extent of 5,000 shares on each of December 1, 2016, 2017 and 2018.
The two 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. The warrant was originally granted on March 18, 2016 with an expiration date of November 18, 2016. The warrant expiration date was extended one year to November 18, 2017.
The two 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. The warrant was originally granted on March 18, 2016 with an expiration date of March 18, 2017. The warrant expiration date was extended one year to March 18, 2018.
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.
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.