Filing Details
- Accession Number:
- 0001567619-19-019742
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-10-18 16:11:14
- Reporting Period:
- 2019-05-09
- Accepted Time:
- 2019-10-18 16:11:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1677513 | Dale Broadrick | 3003 Brick Church Pike Nashville TN 37207 | No | 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 | 2019-05-09 | 1,000 | $0.40 | 3,440,512 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-05-21 | 82,040 | $0.39 | 3,522,552 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-05-23 | 1,000 | $0.57 | 3,523,522 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-05-23 | 5,000 | $0.54 | 3,528,522 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-05-24 | 30,000 | $0.41 | 3,558,552 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-03 | 5,000 | $0.39 | 3,563,552 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-03 | 3,000 | $0.37 | 3,566,552 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-05 | 500 | $0.41 | 3,567,052 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-05 | 200 | $0.42 | 3,567,252 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-06 | 23,000 | $0.43 | 3,590,252 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-10 | 2,500 | $0.48 | 3,592,752 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-12 | 25,400 | $0.36 | 3,618,152 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-13 | 1,000 | $0.42 | 3,619,152 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-06-13 | 11,000 | $0.35 | 3,630,152 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-07-29 | 140,356 | $0.35 | 3,770,508 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-07-30 | 100 | $0.42 | 3,770,608 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-10-08 | 61,971 | $0.13 | 4,009,399 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-10-08 | 14,000 | $0.14 | 4,023,399 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-10-09 | 9,000 | $0.17 | 4,032,399 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-10-14 | 13,000 | $0.11 | 4,045,399 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-10-15 | 5,000 | $0.14 | 4,050,399 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-10-15 | 1,000 | $0.15 | 4,051,399 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-10-16 | 3,333,333 | $0.15 | 7,384,732 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2019-10-17 | 30,000 | $0.12 | 7,414,732 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
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Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to acquire Common Stock | Disposition | 2019-10-16 | 500,000 | $0.00 | 500,000 | $0.85 |
| Common Stock | Warrant to acquire Common Stock | Acquisiton | 2019-10-16 | 500,000 | $0.00 | 500,000 | $0.15 |
| Common Stock | Warrant to acquire Common Stock | Disposition | 2019-10-16 | 500,000 | $0.00 | 500,000 | $0.70 |
| Common Stock | Warrant to acquire Common Stock | Acquisiton | 2019-10-16 | 500,000 | $0.00 | 500,000 | $0.15 |
| Common Stock | Warrant to acquire Common Stock | Disposition | 2019-10-16 | 555,556 | $0.00 | 555,556 | $0.85 |
| Common Stock | Warrant to acquire Common Stock | Acquisiton | 2019-10-16 | 555,556 | $0.00 | 555,556 | $0.15 |
| Common Stock | Warrant to acquire Common Stock | Disposition | 2019-10-16 | 555,555 | $0.00 | 555,555 | $0.70 |
| Common Stock | Warrant to acquire Common Stock | Acquisiton | 2019-10-16 | 555,555 | $0.00 | 555,555 | $0.15 |
| Common Stock | Warrant to acquire Common Stock | Acquisiton | 2019-10-16 | 3,333,333 | $0.00 | 3,333,333 | $0.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-02-19 | 2024-02-19 | No | 4 | J | Direct |
| 500,000 | 2019-02-19 | 2024-02-19 | No | 4 | J | Direct |
| 0 | 2019-02-19 | 2020-02-19 | No | 4 | J | Direct |
| 500,000 | 2019-02-19 | 2024-02-19 | No | 4 | J | Direct |
| 0 | 2019-05-07 | 2024-05-07 | No | 4 | J | Direct |
| 555,556 | 2019-05-07 | 2024-05-07 | No | 4 | J | Direct |
| 0 | 2019-05-07 | 2020-05-07 | No | 4 | J | Direct |
| 555,555 | 2019-05-07 | 2024-05-07 | No | 4 | J | Direct |
| 3,333,333 | 2019-10-16 | 2024-10-16 | No | 4 | P | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $0.35 to $0.51 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 transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $0.39 to $0.42 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 transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $0.41 to $0.53 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 transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $0.35 to $0.49 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 transaction was effected.
- This transaction was executed in multiple trades at prices ranging from $0.32 to $0.40 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 transaction was effected.
- Gives effect to purchases made on August 21, 2019 and August 22, 2019 and reported on a separate Form 4 filed on August 23, 2019, as amended by a Form 4 filed on October 18, 2019.
- Private purchase from issuer.
- 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.
- 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 and an extended expiration date.
Billionaire Hedge Funds
