0001140361-17-032071.txt : 20170814 0001140361-17-032071.hdr.sgml : 20170814 20170814164445 ACCESSION NUMBER: 0001140361-17-032071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170811 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170814 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: 171030955 MAIL ADDRESS: STREET 1: 62 OSBORNE ROAD CITY: GARDEN CITY STATE: NY ZIP: 11530 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 4 1 doc1.xml FORM 4 X0306 4 2017-08-11 0 0001505497 BioRestorative Therapies, Inc. BRTX 0001195325 CATELL ROBERT B 62 OSBORNE ROAD GARDEN CITY NY 11530 1 0 0 0 Common Stock 75866 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 2022-02-10 Common Stock 10866 10866 D Warrant 4 2017-03-01 2022-03-01 Common Stock 15000 15000 D Stock Option 3.35 2027-06-23 Common Stock 100000 100000 D Warrant 4 2017-08-11 4 A 0 5000 0 A 2017-08-11 2022-08-11 Common Stock 5000 5000 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 option is exercisable to the extent of 33,334 shares on June 23, 2017, and 33,333 shares on each of June 23, 2018 and June 23, 2019. The Warrant was issued in consideration of an extension of the maturity date of a promissory note issued by the Issuer. Robert B. Catell 2017-08-11