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BRTX

BioRestorative Therapies, Inc.

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SEC CIK
0001505497
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204

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 06, 2025 Filed Oct 20, 2025 12:02 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
GrantWarrant · Derivative 11,719 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001021771-25-000140 · form4.xml · derivative · entry 7

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,719

Underlying: Common Stock · 11,719 shares

Expires 2030-10-08

Read SEC document
October 06, 2025 Filed Oct 20, 2025 12:02 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
GrantCommon Stock 15,625 $1.60 $25,000.00
Disclosure

SEC source: 0001021771-25-000140 · form4.xml · nonDerivative · entry 1

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,497

Read SEC document
October 06, 2025 Filed Oct 20, 2025 12:18 UTC
Silva FranciscoDirector · VP of Research and Development
GrantWarrant · Derivative 11,719 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001021771-25-000141 · form4.xml · derivative · entry 11

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,719

Underlying: Common Stock · 11,719 shares

Expires 2030-10-08

Read SEC document
October 06, 2025 Filed Oct 20, 2025 12:18 UTC
Silva FranciscoDirector · VP of Research and Development
GrantComon Stock 11,719 $1.60 $18,750.40
Disclosure

SEC source: 0001021771-25-000141 · form4.xml · nonDerivative · entry 1

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 171,384

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:29 UTC GrantStock Option · Derivative 52,632 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001021771-25-000042 · form4.xml · derivative · entry 4

Kukekov Nickolay V. · CIK 0001827573 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,632

Underlying: Common Stock · 52,632 shares

Expires 2035-02-14

F2 · derivative.exercise_date: The option vests and becomes exercisable in twelve nearly equal monthly installments of 4,386 shares beginning on March 14, 2025 and continuing each month thereafter until fully vested.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:33 UTC
Rosa David ADirector
GrantStock Option · Derivative 52,632 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001021771-25-000046 · form4.xml · derivative · entry 4

Rosa David A · CIK 0001540354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,632

Underlying: Common Stock · 52,632 shares

Expires 2035-02-14

F2 · derivative.exercise_date: The option vests and becomes exercisable in twelve nearly equal monthly installments of 4,386 shares beginning on March 14, 2025 and continuing every month thereafter until fully vested.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:31 UTC GrantStock Option · Derivative 52,632 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001021771-25-000044 · form4.xml · derivative · entry 4

Williams Patrick F. · CIK 0001562229 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,632

Underlying: Common Stock · 52,632 shares

Expires 2035-02-14

F2 · derivative.exercise_date: The option vests and becomes exercisable in twelve nearly equal monthly installments of 4,386 shares beginning on March 14, 2025 and continuing every month thereafter until fully vested.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:22 UTC
ALSTODT LANCEDirector · President, CEO, COB
GrantStock Option · Derivative 791,885 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001021771-25-000036 · form4.xml · derivative · entry 6

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 791,885

Underlying: Common Stock · 791,885 shares

Expires 2035-02-14

F4 · derivative.exercise_date: The options vests and becomes exercisable to the extent of 395,943 shares on February 14, 2025 and 395,942 shares in eight nearly equal quarterly installments beginning February 14, 2026 and continuing every three months thereafter until fully vested.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:26 UTC
Kristal Robert EugeneChief Financial Officer
GrantStock Option · Derivative 166,492 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001021771-25-000040 · form4.xml · derivative · entry 5

Kristal Robert Eugene · CIK 0001893955 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,492

Underlying: Common Stock · 166,492 shares

Expires 2035-02-14

F4 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 83,246 shares on February 14, 2025 with the remaining 83,246 shares vesting in eight nearly-equal quarterly installments beginning on February 14, 2026 and continuing every three months thereafter until fully vested.

Read SEC document
February 14, 2025 Filed Feb 19, 2025 21:25 UTC
Silva FranciscoDirector · VP of Research and Development
GrantStock Option · Derivative 768,979 $0.00 Strike: $2.46 $0.00
Disclosure

SEC source: 0001021771-25-000038 · form4.xml · derivative · entry 11

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 768,979

Underlying: Common Stock · 768,979 shares

Expires 2035-02-14

F4 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 384,490 shares on February 14, 2025 and 384,489 shares in eight nearly equal quarterly installments beginning February 14, 2026 and continuing every three months thereafter until fully vested.

Read SEC document
October 28, 2024 Filed Nov 5, 2024 21:33 UTC SaleCommon Stock 1,112 $1.58 $1,756.96
Disclosure

SEC source: 0001021771-24-000184 · form4.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 445,933

Read SEC document
April 09, 2024 Filed Apr 10, 2024 21:16 UTC
Silva FranciscoDirector · VP of Research and Development
PurchaseCommon Stock 6,600 $1.25 $8,250.00
Disclosure

SEC source: 0001021771-24-000091 · form4.xml · nonDerivative · entry 3

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 155,759

Read SEC document
April 08, 2024 Filed Apr 10, 2024 21:16 UTC
Silva FranciscoDirector · VP of Research and Development
PurchaseCommon Stock 1,232 $1.17 $1,441.44
Disclosure

SEC source: 0001021771-24-000091 · form4.xml · nonDerivative · entry 2

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 149,159

Read SEC document
April 08, 2024 Filed Apr 10, 2024 21:16 UTC
Silva FranciscoDirector · VP of Research and Development
PurchaseCommon Stock 476 $1.13 $537.88
Disclosure

SEC source: 0001021771-24-000091 · form4.xml · nonDerivative · entry 1

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,927

Read SEC document
March 18, 2024 Filed Mar 20, 2024 20:38 UTC
Silva FranciscoDirector · VP of Research and Development
Tax withholdingCommon Stock 17,193 $1.39 $23,898.27
Disclosure

SEC source: 0001021771-24-000079 · form4.xml · nonDerivative · entry 1

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,451

F1 · kind: Shares were withheld from vested stock grant to pay the associated withholding taxes.

Read SEC document
March 18, 2024 Filed Mar 20, 2024 20:36 UTC
ALSTODT LANCEDirector · President, CEO, COB
Tax withholdingCommon Stock 17,633 $1.39 $24,509.87
Disclosure

SEC source: 0001021771-24-000077 · form4.xml · nonDerivative · entry 1

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 171,872

F1 · kind: Shares were withheld from vested stock grant to pay the associated withholding taxes.

Read SEC document
February 13, 2024 Filed Feb 15, 2024 16:19 UTC
Paccasassi RobertVP, QA and Reg Compliance
GrantStock Option · Derivative 219,298 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001021771-24-000050 · form4.xml · derivative · entry 3

Paccasassi Robert · CIK 0001751339 · VP, QA and Reg Compliance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 219,298

Underlying: Common Stock · 219,298 shares

Expires 2034-02-13

F3 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 109,649 shares on February 13, 2024 with the remaining 109,649 shares vesting in eight nearly-equal quarterly installments beginning on February 13, 2025 and continuing every three months thereafter until fully vested.

Read SEC document
February 13, 2024 Filed Feb 15, 2024 21:27 UTC
Rosa David ADirector
GrantStock Option · Derivative 79,646 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001021771-24-000056 · form4.xml · derivative · entry 3

Rosa David A · CIK 0001540354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,646

Underlying: Common Stock · 79,646 shares

Expires 2034-02-13

F3 · derivative.exercise_date: The option vests and becomes exercisable in twelve nearly equal monthly installments of 6,637 shares beginning on March 13, 2024 and continuing every month thereafter until fully vested.

Read SEC document
February 13, 2024 Filed Feb 15, 2024 21:25 UTC GrantStock Option · Derivative 79,646 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001021771-24-000054 · form4.xml · derivative · entry 3

Williams Patrick F. · CIK 0001562229 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,646

Underlying: Common Stock · 79,646 shares

Expires 2034-02-13

F3 · derivative.exercise_date: The option vests and becomes exercisable in twelve nearly equal monthly installments of 6,637 shares beginning on March 13, 2024 and continuing every month thereafter until fully vested.

Read SEC document
February 13, 2024 Filed Feb 15, 2024 21:23 UTC GrantStock Option · Derivative 79,646 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001021771-24-000052 · form4.xml · derivative · entry 3

Kukekov Nickolay V. · CIK 0001827573 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,646

Underlying: Common Stock · 79,646 shares

Expires 2033-02-13

F3 · derivative.exercise_date: The option vests and becomes exercisable in twelve nearly equal monthly installments of 6,637 shares beginning on March 13, 2024 and continuing each month thereafter until fully vested.

Read SEC document
February 13, 2024 Filed Feb 15, 2024 21:17 UTC
Kristal Robert EugeneChief Financial Officer
GrantStock Option · Derivative 263,158 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001021771-24-000048 · form4.xml · derivative · entry 4

Kristal Robert Eugene · CIK 0001893955 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 263,158

Underlying: Common Stock · 263,158 shares

Expires 2034-02-13

F3 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 131,579 shares on February 13, 2024 with the remaining 131,579 shares vesting in eight nearly-equal quarterly installments beginning on February 13, 2025 and continuing every three months thereafter until fully vested.

Read SEC document
February 13, 2024 Filed Feb 15, 2024 21:13 UTC
Silva FranciscoDirector · VP of Research and Development · 10% owner
GrantStock Option · Derivative 394,737 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001021771-24-000046 · form4.xml · derivative · entry 13

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 394,737

Underlying: Common Stock · 394,737 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 197,369 shares on February 13, 2024 and 197,368 shares in eight nearly equal quarterly installments beginning February 13, 2025 and continuing every three months thereafter until fully vested.

Read SEC document
February 13, 2024 Filed Feb 15, 2024 21:11 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
GrantStock Option · Derivative 438,596 $0.00 Strike: $1.45 $0.00
Disclosure

SEC source: 0001021771-24-000044 · form4.xml · derivative · entry 5

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 438,596

Underlying: Common Stock · 438,596 shares

Expires 2034-02-13

F5 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 219,298 shares on February 13, 2024 and 219,298 shares in eight nearly equal quarterly installments beginning February 13, 2025 and continuing every three months thereafter until fully vested.

Read SEC document
February 09, 2024 Filed Feb 12, 2024 14:26 UTC PurchaseCommon Stock 86,041 $1.32 $113,574.12
Disclosure

SEC source: 0001021771-24-000038 · form4.xml · nonDerivative · entry 2

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 477,972

F1 · ownership.nature: Owned by Fleetco, Inc. of which the reporting person is a 93% shareholder.

Read SEC document
February 08, 2024 Filed Feb 9, 2024 13:00 UTC PurchaseCommon Stock 83,626 $1.34 $112,058.84
Disclosure

SEC source: 0001021771-24-000035 · form4.xml · nonDerivative · entry 2

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 447,045

Read SEC document
February 08, 2024 Filed Feb 12, 2024 14:26 UTC PurchaseCommon Stock 73,959 $1.25 $92,448.75
Disclosure

SEC source: 0001021771-24-000038 · form4.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Ssee Footnote

Disclosed balance after: 391,931

F1 · ownership.nature: Owned by Fleetco, Inc. of which the reporting person is a 93% shareholder.

Read SEC document
February 07, 2024 Filed Feb 9, 2024 13:00 UTC PurchaseCommon Stock 36,374 $1.38 $50,196.12
Disclosure

SEC source: 0001021771-24-000035 · form4.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 363,419

Read SEC document
December 01, 2023 Filed Dec 5, 2023 21:32 UTC SaleCommon Stock 250 $1.88 $469.25
Disclosure

SEC source: 0001021771-23-000118 · form4.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 327,045

Read SEC document
November 27, 2023 Filed Dec 1, 2023 22:04 UTC SaleCommon Stock 278 $1.89 $525.42
Disclosure

SEC source: 0001021771-23-000116 · form4.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 327,295

Read SEC document
September 15, 2023 Filed Sep 18, 2023 13:20 UTC PurchaseCommon Stock 10,000 $1.66 $16,600.00
Disclosure

SEC source: 0001021771-23-000098 · form4.xml · nonDerivative · entry 2

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 327,573

Read SEC document
September 15, 2023 Filed Sep 18, 2023 13:17 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
PurchaseCommon Stock 2,200 $1.70 $3,740.00
Disclosure

SEC source: 0001021771-23-000096 · form4.xml · nonDerivative · entry 1

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,505

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.66 to $1.75 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 transactions were effected.

F2 · balance_after: Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.

Read SEC document
September 14, 2023 Filed Sep 18, 2023 13:20 UTC PurchaseCommon Stock 10,000 $1.54 $15,400.00
Disclosure

SEC source: 0001021771-23-000098 · form4.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 317,573

Read SEC document
September 13, 2023 Filed Sep 13, 2023 21:00 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
PurchaseCommon Stock 800 $1.53 $1,226.00
Disclosure

SEC source: 0001021771-23-000090 · form4.xml · nonDerivative · entry 1

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 188,105

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.52 to $1.54 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 transactions were effected.

F2 · balance_after: Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.

Read SEC document
September 07, 2023 Filed Sep 14, 2023 20:08 UTC PurchaseCommon Stock 1,000 $1.91 $1,910.00
Disclosure

SEC source: 0001021771-23-000092 · form4.xml · nonDerivative · entry 3

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 317,972

F1 · ownership.nature: Owned by Fleetco, Inc. of which the reporting person is a 93% shareholder.

Read SEC document
September 07, 2023 Filed Sep 14, 2023 20:08 UTC PurchaseCommon Stock 1,000 $1.81 $1,810.00
Disclosure

SEC source: 0001021771-23-000092 · form4.xml · nonDerivative · entry 2

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307,573

Read SEC document
September 06, 2023 Filed Sep 6, 2023 21:53 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
PurchaseCommon Stock 2,887 $1.96 $5,658.52
Disclosure

SEC source: 0001021771-23-000088 · form4.xml · nonDerivative · entry 1

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 187,305

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.93 to $2.02 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 transactions were effected.

F2 · balance_after: Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.

Read SEC document
August 31, 2023 Filed Aug 31, 2023 17:54 UTC
Silva FranciscoDirector · VP of Research and Development · 10% owner
PurchaseCommon Stock 4,954 $2.22 $10,997.88
Disclosure

SEC source: 0001021771-23-000086 · form4.xml · nonDerivative · entry 1

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,644

F1 · balance_after: Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.

Read SEC document
July 28, 2023 Filed Sep 14, 2023 20:08 UTC PurchaseCommon Stock 500 $2.89 $1,445.00
Disclosure

SEC source: 0001021771-23-000092 · form4.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,573

Read SEC document
July 27, 2023 Filed Jul 28, 2023 15:17 UTC PurchaseCommon Stock 1,000 $2.80 $2,800.00
Disclosure

SEC source: 0001140361-23-036665 · form4.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,073

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.75 to $2.85 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 transactions were effected.

F2 · balance_after: The reporting person also owns 316,972 shares indirectly through Fleetco, Inc. of which the reporting person is a 93% shareholder.

Read SEC document
July 25, 2023 Filed Jul 25, 2023 21:56 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
PurchaseCommon Stock 4,200 $2.44 $10,248.00
Disclosure

SEC source: 0001140361-23-036103 · form4.xml · nonDerivative · entry 1

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 184,418

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.41 to $2.47 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 transactions were effected.

F2 · balance_after: Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 11:00 UTC
Silva FranciscoDirector · VP of Research and Development · 10% owner
PurchaseCommon Stock 747 $3.56 $2,659.32
Disclosure

SEC source: 0001021771-23-000034 · form4.xml · nonDerivative · entry 1

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,690

F1 · balance_after: Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.

Read SEC document
March 20, 2023 Filed Mar 22, 2023 20:49 UTC
Silva FranciscoDirector · VP of Research and Development · 10% owner
Tax withholdingCommon Stock 6,729 $2.92 $19,648.68
Disclosure

SEC source: 0001021771-23-000028 · form4.xml · nonDerivative · entry 1

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,943

F1 · kind: Shares were withheld from vested stock grant to pay the associated withholding taxes.

F2 · balance_after: Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.

Read SEC document
March 20, 2023 Filed Mar 22, 2023 20:47 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
Tax withholdingCommon Stock 6,729 $2.92 $19,648.68
Disclosure

SEC source: 0001021771-23-000026 · form4.xml · nonDerivative · entry 1

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,218

F1 · kind: Shares were withheld from vested stock grant to pay the associated withholding taxes.

F2 · balance_after: Includes 48,912 shares received pursuant to an unvested restricted stock unit grant. Such shares vest on March 18, 2024.

Read SEC document
February 22, 2023 Filed Mar 3, 2023 21:11 UTC PurchaseCommon Stock 1,000 $2.95 $2,950.00
Disclosure

SEC source: 0001567619-23-004348 · doc1.xml · nonDerivative · entry 4

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,073

Read SEC document
February 22, 2023 Filed Mar 3, 2023 21:11 UTC PurchaseCommon Stock 5,000 $2.84 $14,200.00
Disclosure

SEC source: 0001567619-23-004348 · doc1.xml · nonDerivative · entry 3

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,073

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February 18, 2023 Filed Feb 27, 2023 22:17 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
Tax withholdingCommon Stock 374 $2.99 $1,118.26
Disclosure

SEC source: 0001567619-23-003875 · doc1.xml · nonDerivative · entry 1

ALSTODT LANCE · CIK 0001756228 · Director · President, CEO, COB · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,947

F1 · kind: Shares were withheld from vested stock grant to pay the associated withholding taxes.

F2 · balance_after: Includes 98,862 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 49,949 shares on March 18, 2023 and 48,913 shares on March 18, 2024.

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February 18, 2023 Filed Feb 28, 2023 12:26 UTC
Silva FranciscoDirector · VP of Research and Development · 10% owner
Tax withholdingCommon Stock 374 $2.99 $1,118.26
Disclosure

SEC source: 0001567619-23-003891 · doc1.xml · nonDerivative · entry 1

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,672

F1 · kind: Shares were withheld from vested stock grant to pay the associated withholding taxes.

F2 · balance_after: Includes 98,862 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 49,949 shares on March 18, 2023 and 48,913 shares on March 18, 2024.

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February 17, 2023 Filed Feb 17, 2023 21:39 UTC
Paccasassi RobertVP, QA and Reg Compliance
GrantStock Option · Derivative 88,968 $0.00 Strike: $2.91 $0.00
Disclosure

SEC source: 0001567619-23-003365 · doc1.xml · derivative · entry 2

Paccasassi Robert · CIK 0001751339 · VP, QA and Reg Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,968

Underlying: Common Stock · 88,968 shares

Expires 2033-02-17

F2 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 44,484 shares on February 17, 2023 with the remaining 44,484 shares vesting in eight nearly-equal quarterly installments beginning on February 17, 2024 and continuing every three months thereafter until fully vested.

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February 17, 2023 Filed Feb 17, 2023 22:38 UTC
Rosa David ADirector
GrantStock Option · Derivative 32,028 $0.00 Strike: $2.91 $0.00
Disclosure

SEC source: 0001567619-23-003334 · doc1.xml · derivative · entry 2

Rosa David A · CIK 0001540354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,028

Underlying: Common Stock · 32,028 shares

Expires 2033-02-17

F2 · derivative.exercise_date: The option vests and becomes exercisable in twelve monthly installments of 2,669 shares beginning on March 17, 2023 and continuing every month thereafter until fully vested.

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February 17, 2023 Filed Feb 17, 2023 22:29 UTC
Silva FranciscoDirector · VP of Research and Development · 10% owner
GrantStock Option · Derivative 106,762 $0.00 Strike: $2.91 $0.00
Disclosure

SEC source: 0001567619-23-003326 · doc1.xml · derivative · entry 13

Silva Francisco · CIK 0001527241 · Director · VP of Research and Development · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,762

Underlying: Common Stock · 106,762 shares

Expires 2033-02-17

F5 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 53,381 shares on February 17, 2023 with the remaining 53,381 shares vesting in eight nearly-equal quarterly installments beginning on February 17, 2024 and continuing every three months thereafter until fully vested.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.