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BRTX

BioRestorative Therapies, Inc.

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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
November 17, 2017 Filed Nov 20, 2017 21:27 UTC
Desmarais John MDirector · 10% owner
GrantWarrant · Derivative 400,000 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001140361-17-043375 · doc1.xml · derivative · entry 10

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2018-12-31

F5 · price: 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.

Read SEC document
November 17, 2017 Filed Nov 20, 2017 21:27 UTC
Desmarais John MDirector · 10% owner
Disposition to issuerWarrant · Derivative 400,000 Not disclosed Strike: $5.00 Not disclosed
Disclosure

SEC source: 0001140361-17-043375 · doc1.xml · derivative · entry 9

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 400,000 shares

Expires 2018-12-31

F5 · price: 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.

Read SEC document
November 17, 2017 Filed Nov 20, 2017 21:27 UTC
Desmarais John MDirector · 10% owner
GrantWarrant · Derivative 444,444 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001140361-17-043375 · doc1.xml · derivative · entry 8

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,444

Underlying: Common Stock · 444,444 shares

Expires 2018-12-31

F5 · price: 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.

Read SEC document
November 17, 2017 Filed Nov 20, 2017 21:27 UTC
Desmarais John MDirector · 10% owner
Disposition to issuerWarrant · Derivative 444,444 Not disclosed Strike: $4.50 Not disclosed
Disclosure

SEC source: 0001140361-17-043375 · doc1.xml · derivative · entry 7

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 444,444 shares

Expires 2018-12-31

F5 · price: 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.

Read SEC document
November 17, 2017 Filed Nov 20, 2017 21:27 UTC
Desmarais John MDirector · 10% owner
GrantWarrant · Derivative 250,000 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001140361-17-043375 · doc1.xml · derivative · entry 6

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2021-03-18

F5 · price: 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.

Read SEC document
November 17, 2017 Filed Nov 20, 2017 21:27 UTC
Desmarais John MDirector · 10% owner
Disposition to issuerWarrant · Derivative 250,000 Not disclosed Strike: $5.00 Not disclosed
Disclosure

SEC source: 0001140361-17-043375 · doc1.xml · derivative · entry 5

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 shares

Expires 2021-03-18

F5 · price: 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.

Read SEC document
November 17, 2017 Filed Nov 20, 2017 21:27 UTC
Desmarais John MDirector · 10% owner
GrantWarrant · Derivative 125,000 Not disclosed Strike: $4.00 Not disclosed
Disclosure

SEC source: 0001140361-17-043375 · doc1.xml · derivative · entry 4

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2020-11-17

F5 · price: 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.

Read SEC document
November 17, 2017 Filed Nov 20, 2017 21:27 UTC
Desmarais John MDirector · 10% owner
Disposition to issuerWarrant · Derivative 125,000 Not disclosed Strike: $5.00 Not disclosed
Disclosure

SEC source: 0001140361-17-043375 · doc1.xml · derivative · entry 3

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires 2020-11-17

F5 · price: 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.

Read SEC document
August 11, 2017 Filed Aug 14, 2017 16:44 UTC GrantWarrant · Derivative 5,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001140361-17-032071 · doc1.xml · derivative · entry 10

CATELL ROBERT B · CIK 0001195325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2022-08-11

F4 · price: The Warrant was issued in consideration of an extension of the maturity date of a promissory note issued by the Issuer.

Read SEC document
August 10, 2017 Filed Aug 11, 2017 18:19 UTC
Clyde Mandy D.VP of Operations
GrantStock Option · Derivative 20,000 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001140361-17-031342 · doc1.xml · derivative · entry 11

Clyde Mandy D. · CIK 0001527239 · VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-08-10

F10 · derivative.exercise_date: The option is exercisable to the extent of 6,667 shares on each of August 10, 2018 and August 10, 2019, and 6,666 shares on August 10, 2020.

Read SEC document
July 12, 2017 Filed Jul 13, 2017 21:39 UTC
Clyde Mandy D.VP of Operations
GrantStock Option · Derivative 30,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001140361-17-027822 · doc1.xml · derivative · entry 10

Clyde Mandy D. · CIK 0001527239 · VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-07-12

F9 · derivative.exercise_date: The option is exercisable to the extent of 10,000 shares on each of July 12, 2018, July 12, 2019 and July 12, 2020.

Read SEC document
July 12, 2017 Filed Jul 14, 2017 11:17 UTC
Field Edward L.President brtxDISC Division
GrantOption · Derivative 110,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001140361-17-027860 · doc1.xml · derivative · entry 4

Field Edward L. · CIK 0001435185 · President brtxDISC Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2027-07-12

F4 · derivative.exercise_date: The option is exercisable to the extent of 36,667 shares on each of July 12, 2018 and July 12, 2019, and 36,666 shares on July 12, 2020.

Read SEC document
July 12, 2017 Filed Jul 14, 2017 16:05 UTC
Silva FranciscoVP of Research and Development
GrantStock Option · Derivative 80,000 $0.00 Strike: $2.80 $0.00
Disclosure

SEC source: 0001140361-17-027866 · doc1.xml · derivative · entry 16

Silva Francisco · CIK 0001527241 · VP of Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2027-07-12

F10 · derivative.exercise_date: The option is exercisable to the extent of 26,667 shares on each of July 12, 2018 and July 12, 2019, and 26,666 shares on July 12, 2020.

Read SEC document
June 23, 2017 Filed Jun 26, 2017 16:53 UTC GrantStock Option · Derivative 125,000 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001140361-17-026100 · doc1.xml · derivative · entry 9

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2027-06-23

F6 · derivative.exercise_date: The option is exercisable to the extent of 41,667 shares on June 23, 2017 and June 23, 2018, and 41,666 shares on June 23, 2019.

Read SEC document
June 23, 2017 Filed Jun 26, 2017 21:06 UTC GrantStock Option · Derivative 100,000 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001140361-17-026108 · doc1.xml · derivative · entry 8

Ryan Charles S. · CIK 0001624830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-06-23

F4 · derivative.exercise_date: 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.

Read SEC document
June 23, 2017 Filed Jun 26, 2017 21:03 UTC
Desmarais John MDirector · 10% owner
GrantStock Option · Derivative 125,000 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001140361-17-026106 · doc1.xml · derivative · entry 12

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2027-06-23

F4 · derivative.exercise_date: 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.

Read SEC document
June 23, 2017 Filed Jun 26, 2017 20:59 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
GrantStock Option · Derivative 275,000 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001140361-17-026104 · doc1.xml · derivative · entry 10

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2027-06-23

F8 · derivative.exercise_date: The option is exercisable to the extent of 91,667 shares on each of June 23, 2017 and June 23, 2018, and 91,666 shares on June 23, 2019.

Read SEC document
June 23, 2017 Filed Jun 26, 2017 20:57 UTC GrantStock Option · Derivative 125,000 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001140361-17-026102 · doc1.xml · derivative · entry 9

Radov A. Jeffrey · CIK 0001528040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2027-06-23

F8 · derivative.exercise_date: 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.

Read SEC document
June 23, 2017 Filed Jun 27, 2017 17:20 UTC GrantStock Option · Derivative 100,000 $0.00 Strike: $3.35 $0.00
Disclosure

SEC source: 0001140361-17-026291 · doc1.xml · derivative · entry 9

CATELL ROBERT B · CIK 0001195325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-06-23

F3 · derivative.exercise_date: 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.

Read SEC document
March 01, 2017 Filed Mar 2, 2017 17:36 UTC GrantWarrant · Derivative 30,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001140361-17-010338 · doc1.xml · derivative · entry 8

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2022-03-01

F1 · price: In exchange for accrued director fees.

Read SEC document
March 01, 2017 Filed Mar 2, 2017 17:36 UTC GrantCommon Stock 30,000 $3.00 $90,000.00
Disclosure

SEC source: 0001140361-17-010338 · doc1.xml · nonDerivative · entry 1

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

F1 · price: In exchange for accrued director fees.

Read SEC document
March 01, 2017 Filed Mar 2, 2017 22:33 UTC
Desmarais John MDirector · 10% owner
GrantWarrant · Derivative 16,667 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001140361-17-010334 · doc1.xml · derivative · entry 11

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 16,667 shares

Expires 2022-03-01

F1 · price: In exchange for accrued director fees.

Read SEC document
March 01, 2017 Filed Mar 2, 2017 22:33 UTC
Desmarais John MDirector · 10% owner
GrantCommon Stock 16,667 $3.00 $50,001.00
Disclosure

SEC source: 0001140361-17-010334 · doc1.xml · nonDerivative · entry 1

Desmarais John M · CIK 0001659553 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 493,398

F1 · price: In exchange for accrued director fees.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 09:57 UTC GrantWarrant · Derivative 15,000 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001140361-17-010412 · doc1.xml · derivative · entry 8

CATELL ROBERT B · CIK 0001195325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2022-03-01

F1 · price: In exchange for accrued director fees.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 09:57 UTC GrantCommon Stock 15,000 $3.00 $45,000.00
Disclosure

SEC source: 0001140361-17-010412 · doc1.xml · nonDerivative · entry 1

CATELL ROBERT B · CIK 0001195325 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,866

F1 · price: In exchange for accrued director fees.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 17:24 UTC GrantWarrant · Derivative 26,667 $0.00 Strike: $4.00 $0.00
Disclosure

SEC source: 0001140361-17-010429 · doc1.xml · derivative · entry 7

Ryan Charles S. · CIK 0001624830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,667

Underlying: Common Stock · 26,667 shares

Expires 2022-03-01

F1 · price: In exchange for accrued director fees.

Read SEC document
March 01, 2017 Filed Mar 3, 2017 17:24 UTC GrantCommon Stock 26,667 $3.00 $80,001.00
Disclosure

SEC source: 0001140361-17-010429 · doc1.xml · nonDerivative · entry 1

Ryan Charles S. · CIK 0001624830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,917

F1 · price: In exchange for accrued director fees.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
GrantStock Option · Derivative 208,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 16

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,000

Underlying: Common Stock · 208,000 shares

Expires 2025-09-04

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F7 · derivative.exercise_date: The option is exercisable to the extent of 104,000 shares on December 22, 2015, 34,667 shares on each of September 4, 2016 and September 4, 2017, and 34,666 shares on September 4, 2018.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
Disposition to issuerStock Option · Derivative 208,000 Not disclosed Strike: $7.00 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 15

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 208,000 shares

Expires 2025-09-04

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F7 · derivative.exercise_date: The option is exercisable to the extent of 104,000 shares on December 22, 2015, 34,667 shares on each of September 4, 2016 and September 4, 2017, and 34,666 shares on September 4, 2018.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
GrantStock Option · Derivative 150,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 14

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2024-10-23

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F6 · derivative.exercise_date: The option is exercisable to the extent of 50,000 shares on each of October 23, 2015, October 23, 2016 and October 23, 2017.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
Disposition to issuerStock Option · Derivative 150,000 Not disclosed Strike: $6.60 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 13

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires 2024-10-23

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F6 · derivative.exercise_date: The option is exercisable to the extent of 50,000 shares on each of October 23, 2015, October 23, 2016 and October 23, 2017.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
GrantStock Option · Derivative 50,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 12

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-02-18

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F5 · derivative.exercise_date: The option is exercisable to the extent of 16,667 shares on each of February 18, 2014 and February 18, 2015 and 16,666 shares on February 18, 2016.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
Disposition to issuerStock Option · Derivative 50,000 Not disclosed Strike: $13.00 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 11

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2024-02-18

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F5 · derivative.exercise_date: The option is exercisable to the extent of 16,667 shares on each of February 18, 2014 and February 18, 2015 and 16,666 shares on February 18, 2016.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
GrantStock Option · Derivative 12,500 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 10

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2023-10-04

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F4 · derivative.exercise_date: The option is exercisable to the extent of 6,250 shares on each of October 4, 2013 and October 4, 2014.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
Disposition to issuerStock Option · Derivative 12,500 Not disclosed Strike: $12.00 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 9

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2023-10-04

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F4 · derivative.exercise_date: The option is exercisable to the extent of 6,250 shares on each of October 4, 2013 and October 4, 2014.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
GrantStock Option · Derivative 20,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 8

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2022-12-07

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F3 · derivative.exercise_date: The option is exercisable to the extent of 10,000 shares on each of December 7, 2012 and December 7, 2013.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
Disposition to issuerStock Option · Derivative 20,000 Not disclosed Strike: $30.00 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 7

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2022-12-07

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F3 · derivative.exercise_date: The option is exercisable to the extent of 10,000 shares on each of December 7, 2012 and December 7, 2013.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
GrantStock Option · Derivative 50,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 6

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2022-02-09

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F2 · derivative.exercise_date: The option is exercisable to the extent of 16,667 shares on each of February 10, 2012 and February 10, 2013 and 16,666 shares on February 10, 2014.

Read SEC document
February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
Disposition to issuerStock Option · Derivative 50,000 Not disclosed Strike: $21.00 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 5

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2022-02-09

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F2 · derivative.exercise_date: The option is exercisable to the extent of 16,667 shares on each of February 10, 2012 and February 10, 2013 and 16,666 shares on February 10, 2014.

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February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
GrantStock Option · Derivative 4,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 4

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2020-12-14

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

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February 14, 2017 Filed Feb 14, 2017 20:31 UTC
Weinreb MarkDirector · CEO and Chairman of the Board · 10% owner
Disposition to issuerStock Option · Derivative 4,000 Not disclosed Strike: $10.00 Not disclosed
Disclosure

SEC source: 0001140361-17-007158 · doc1.xml · derivative · entry 3

Weinreb Mark · CIK 0001527212 · Director · CEO and Chairman of the Board · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2020-12-14

F9 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

Read SEC document
February 14, 2017 Filed Feb 15, 2017 16:44 UTC GrantOption · Derivative 60,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007729 · doc1.xml · derivative · entry 9

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2025-09-04

F6 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F4 · derivative.exercise_date: The option is exercisable to the extent of 30,000 shares on December 22, 2015 and 10,000 shares on each of September 4, 2016, September 4, 2017 and September 4, 2018.

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February 14, 2017 Filed Feb 15, 2017 16:44 UTC Disposition to issuerOption · Derivative 60,000 Not disclosed Strike: $7.00 Not disclosed
Disclosure

SEC source: 0001140361-17-007729 · doc1.xml · derivative · entry 8

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,000 shares

Expires 2025-09-04

F6 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F4 · derivative.exercise_date: The option is exercisable to the extent of 30,000 shares on December 22, 2015 and 10,000 shares on each of September 4, 2016, September 4, 2017 and September 4, 2018.

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February 14, 2017 Filed Feb 15, 2017 16:44 UTC GrantOption · Derivative 25,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007729 · doc1.xml · derivative · entry 7

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2024-10-23

F6 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F3 · derivative.exercise_date: The option is exercisable to the extent of 8,334 shares on October 23, 2015 and 8,333 shares on each of October 23, 2016 and October 23, 2017.

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February 14, 2017 Filed Feb 15, 2017 16:44 UTC Disposition to issuerOption · Derivative 25,000 Not disclosed Strike: $6.60 Not disclosed
Disclosure

SEC source: 0001140361-17-007729 · doc1.xml · derivative · entry 6

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2024-10-23

F6 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F3 · derivative.exercise_date: The option is exercisable to the extent of 8,334 shares on October 23, 2015 and 8,333 shares on each of October 23, 2016 and October 23, 2017.

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February 14, 2017 Filed Feb 15, 2017 16:44 UTC GrantOption · Derivative 15,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007729 · doc1.xml · derivative · entry 3

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2024-06-27

F6 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F2 · derivative.exercise_date: The option vests to the extent of 5,000 shares on each of June 27, 2014, June 27, 2015 and June 27, 2016.

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February 14, 2017 Filed Feb 15, 2017 16:44 UTC Disposition to issuerOption · Derivative 15,000 Not disclosed Strike: $5.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007729 · doc1.xml · derivative · entry 2

Tonna Paul Jude · CIK 0001612143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2024-06-27

F6 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F2 · derivative.exercise_date: The option vests to the extent of 5,000 shares on each of June 27, 2014, June 27, 2015 and June 27, 2016.

Read SEC document
February 14, 2017 Filed Feb 15, 2017 16:41 UTC
Field Edward L.President brtxDISC Division
GrantOption · Derivative 25,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007725 · doc1.xml · derivative · entry 4

Field Edward L. · CIK 0001435185 · President brtxDISC Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2025-09-04

F4 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F2 · derivative.exercise_date: The option is exercisable to the extent of 8,334 shares on September 4, 2016 and 8,333 shares on each of September 4, 2017 and September 4, 2018.

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February 14, 2017 Filed Feb 15, 2017 16:41 UTC
Field Edward L.President brtxDISC Division
Disposition to issuerOption · Derivative 25,000 Not disclosed Strike: $7.00 Not disclosed
Disclosure

SEC source: 0001140361-17-007725 · doc1.xml · derivative · entry 3

Field Edward L. · CIK 0001435185 · President brtxDISC Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2025-09-04

F4 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F2 · derivative.exercise_date: The option is exercisable to the extent of 8,334 shares on September 4, 2016 and 8,333 shares on each of September 4, 2017 and September 4, 2018.

Read SEC document
February 14, 2017 Filed Feb 15, 2017 16:41 UTC
Field Edward L.President brtxDISC Division
GrantOption · Derivative 25,000 Not disclosed Strike: $4.70 Not disclosed
Disclosure

SEC source: 0001140361-17-007725 · doc1.xml · derivative · entry 2

Field Edward L. · CIK 0001435185 · President brtxDISC Division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2025-02-09

F4 · price: The reported transactions involved an amendment of an outstanding stock option, resulting in the deemed cancellation of the "old" stock option and the grant of a "replacement" stock option at a reduced exercise price.

F1 · derivative.exercise_date: The option vests to the extent of 8,334 shares on February 9, 2016 and 8,333 shares on each of February 9, 2017 and February 9, 2018.

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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.