0001140361-17-043375.txt : 20171120 0001140361-17-043375.hdr.sgml : 20171120 20171120162759 ACCESSION NUMBER: 0001140361-17-043375 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171117 FILED AS OF DATE: 20171120 DATE AS OF CHANGE: 20171120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Desmarais John M CENTRAL INDEX KEY: 0001659553 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37603 FILM NUMBER: 171214071 MAIL ADDRESS: STREET 1: 230 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10169 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 2017-11-17 0 0001505497 BioRestorative Therapies, Inc. BRTX 0001659553 Desmarais John M 230 PARK AVENUE NEW YORK NY 10169 1 0 1 0 Common Stock 493398 D Option 4.4 2025-12-01 Common Stock 15000 15000 D Warrant 5 2017-11-17 4 D 0 125000 D 2015-12-17 2020-11-17 Common Stock 125000 0 D Warrant 4 2017-11-17 4 A 0 125000 A 2015-12-17 2020-11-17 Common Stock 125000 125000 D Warrant 5 2017-11-17 4 D 0 250000 D 2016-03-18 2021-03-18 Common Stock 250000 0 D Warrant 4 2017-11-17 4 A 0 250000 A 2016-03-18 2021-03-18 Common Stock 250000 250000 D Warrant 4.5 2017-11-17 4 D 0 444444 D 2016-03-18 2018-12-31 Common Stock 444444 0 D Warrant 4 2017-11-17 4 A 0 444444 A 2016-03-18 2018-12-31 Common Stock 444444 444444 D Warrant 5 2017-11-17 4 D 0 400000 D 2016-03-18 2018-12-31 Common Stock 400000 0 D Warrant 4 2017-11-17 4 A 0 400000 A 2016-03-18 2018-12-31 Common Stock 400000 400000 D Option 3.73 2026-06-10 Common Stock 35000 35000 D Warrant 4 2016-06-30 2021-06-30 Common Stock 40000 40000 I Trust Warrant 4 2016-09-26 2021-09-26 Common Stock 80000 80000 D Warrant 4 2017-02-10 2022-02-10 Common Stock 21731 21731 D Warrant 4 2017-03-01 2022-03-01 Common Stock 16667 16667 D Stock Option 3.35 2027-06-23 Common Stock 125000 125000 D The option vests to the extent of 5,000 shares on each of December 1, 2016, 2017 and 2018. 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. 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. The option is exercisable to the extent of 41,667 shares on each of June 23, 2017 and June 23, 2018, and 41,666 shares on June 23, 2019. 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. /s/ Fred Skolnik, by power of attorney, for John M. Desmarais 2017-11-17