0001140361-17-006660.txt : 20170214 0001140361-17-006660.hdr.sgml : 20170214 20170214112052 ACCESSION NUMBER: 0001140361-17-006660 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170210 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BioRestorative Therapies, Inc. CENTRAL INDEX KEY: 0001505497 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 911835664 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 40 MARCUS DRIVE CITY: MELVILLE STATE: NY ZIP: 11747 BUSINESS PHONE: (631) 760-8100 MAIL ADDRESS: STREET 1: 40 MARCUS DRIVE CITY: MELVILLE STATE: NY ZIP: 11747 FORMER COMPANY: FORMER CONFORMED NAME: Stem Cell Assurance, Inc. DATE OF NAME CHANGE: 20101110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CATELL ROBERT B CENTRAL INDEX KEY: 0001195325 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37603 FILM NUMBER: 17604666 MAIL ADDRESS: STREET 1: 62 OSBORNE ROAD CITY: GARDEN CITY STATE: NY ZIP: 11530 4 1 doc1.xml FORM 4 X0306 4 2017-02-10 0 0001505497 BioRestorative Therapies, Inc. BRTX 0001195325 CATELL ROBERT B 62 OSBORNE ROAD GARDEN CITY NY 11530 1 0 0 0 Common Stock 2017-02-10 4 A 0 10866 3 A 60866 D Stock Option 3.7 2026-02-19 Common Stock 15000 15000 D Warrant 5 2016-03-01 2021-03-01 Common Stock 37500 37500 D Warrant 5 2016-05-18 2021-05-18 Common Stock 12500 12500 D Stock Option 3.73 2026-06-10 Common Stock 29000 29000 D Warrant 4 2016-08-05 2021-08-05 Common Stock 8000 8000 D Warrant 4 2017-02-10 4 A 0 10866 0 A 2017-02-10 2022-02-10 Common Stock 10866 10866 D The option vests to the extent of 5,000 shares on each of February 19, 2017, 2018 and 2019. The option vests to the extent of 9,667 shares on each of June 10, 2016 and June 10, 2017, and 9,666 shares on June 10, 2018. The warrant was issued in consideration of a concurrent acquisition by the Reporting Person from the Issuer of 10,866 shares. Robert B. Catell 2017-02-13