Statement of Changes in Beneficial Ownership (4)
19 October 2019 - 7:11AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Broadrick Dale |
2. Issuer Name and Ticker or Trading Symbol
BioRestorative Therapies, Inc.
[
BRTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
3003 BRICK CHURCH PIKE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/9/2019
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(Street)
NASHVILLE, TN 37207
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/9/2019
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P
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1000
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A
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$.4
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3440512
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D
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Common Stock
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5/21/2019
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P
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82040
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A
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$.3910 (1)
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3522552
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D
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Common Stock
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5/23/2019
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P
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1000
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A
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$.57
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3523522
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D
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Common Stock
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5/23/2019
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P
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5000
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A
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$.54
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3528522
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D
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Common Stock
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5/24/2019
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P
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30000
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A
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$.4053 (2)
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3558552
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D
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Common Stock
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6/3/2019
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P
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5000
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A
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$.39
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3563552
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D
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Common Stock
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6/3/2019
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P
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3000
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A
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$.37
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3566552
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D
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Common Stock
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6/5/2019
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P
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500
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A
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$.41
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3567052
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D
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Common Stock
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6/5/2019
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P
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200
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A
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$.42
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3567252
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D
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Common Stock
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6/6/2019
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P
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23000
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A
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$.4327 (3)
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3590252
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D
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Common Stock
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6/10/2019
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P
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2500
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A
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$.48
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3592752
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D
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Common Stock
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6/12/2019
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P
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25400
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A
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$.36 (4)
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3618152
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D
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Common Stock
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6/13/2019
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P
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1000
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A
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$.42
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3619152
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D
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Common Stock
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6/13/2019
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P
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11000
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A
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$.35
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3630152
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D
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Common Stock
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7/29/2019
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P
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140356
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A
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$.3542 (5)
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3770508
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D
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Common Stock
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7/30/2019
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P
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100
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A
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$.42
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3770608
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D
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Common Stock
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10/8/2019
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P
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61971
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A
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$.13
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4009399 (6)
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D
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Common Stock
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10/8/2019
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P
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14000
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A
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$.14
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4023399
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D
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Common Stock
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10/9/2019
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P
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9000
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A
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$.17
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4032399
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D
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Common Stock
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10/14/2019
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P
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13000
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A
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$.11
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4045399
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D
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Common Stock
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10/15/2019
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P
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5000
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A
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$.14
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4050399
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D
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Common Stock
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10/15/2019
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P
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1000
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A
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$.15
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4051399
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D
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Common Stock
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10/16/2019
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P
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3333333 (7)
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A
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$.15
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7384732
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D
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Common Stock
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10/17/2019
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P
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30000
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A
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$.12
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7414732
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D
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Warrant to acquire Common Stock
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$.85
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10/16/2019
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J
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500000
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2/19/2019
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2/19/2024
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Common Stock
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500000
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(8)
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0
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D
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Warrant to acquire Common Stock
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$.15
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10/16/2019
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J
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500000
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2/19/2019
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2/19/2024
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Common Stock
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500000
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(8)
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500000
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D
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Warrant to acquire Common Stock
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$.7
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10/16/2019
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J
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500000
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2/19/2019
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2/19/2020
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Common Stock
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500000
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(9)
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0
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D
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Warrant to acquire Common Stock
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$.15
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10/16/2019
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J
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500000
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2/19/2019
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2/19/2024
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Common Stock
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500000
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(9)
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500000
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D
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Warrant to acquire Common Stock
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$.85
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10/16/2019
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J
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555556
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5/7/2019
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5/7/2024
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Common Stock
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555556
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(8)
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0
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D
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Warrant to acquire Common Stock
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$.15
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10/16/2019
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J
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555556
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5/7/2019
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5/7/2024
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Common Stock
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555556
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(8)
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555556
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D
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Warrant to acquire Common Stock
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$.7
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10/16/2019
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J
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555555
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5/7/2019
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5/7/2020
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Common Stock
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555555
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(9)
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0
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D
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Warrant to acquire Common Stock
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$.15
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10/16/2019
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J
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555555
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5/7/2019
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5/7/2024
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Common Stock
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555555
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(9)
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555555
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D
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Warrant to acquire Common Stock
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$.20
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10/16/2019
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P
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3333333
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10/16/2019
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10/16/2024
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Common Stock
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3333333
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$0
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3333333
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D
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Explanation of Responses:
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(1)
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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.
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(2)
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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.
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(3)
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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.
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(4)
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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.
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(5)
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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.
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(6)
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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.
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(7)
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Private purchase from issuer.
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(8)
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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.
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(9)
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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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Broadrick Dale 3003 BRICK CHURCH PIKE NASHVILLE, TN 37207
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X
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Signatures
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/s/ Dale Broadrick
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10/18/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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