Filing Details

Accession Number:
0001140361-16-090223
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2016-12-19 15:30:20
Reporting Period:
2016-09-26
Filing Date:
2016-12-19
Accepted Time:
2016-12-19 15:30:20
Original Submission Date:
2016-09-28
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
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 D Direct
444,444 2017-11-18 No 4 A Direct
0 2017-03-18 No 4 D Direct
400,000 2018-03-18 No 4 A 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
  1. The option vests to the extent of 5,000 shares on each of December 1, 2016, 2017 and 2018.
  2. 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.
  3. 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.
  4. 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.
  5. 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.