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BRTX

BioRestorative Therapies, Inc.

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8277
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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Dec 202500
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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
January 05, 2022 Filed Jan 5, 2022 21:52 UTC
ALSTODT LANCEDirector · President, CEO, COB
PurchaseCommon Stock 2,000 $3.85 $7,700.00
Disclosure

SEC source: 0001567619-22-000585 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,613

F1 · balance_after: Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.

Read SEC document
December 01, 2021 Filed Dec 2, 2021 15:00 UTC
ALSTODT LANCEDirector · President, CEO, COB
PurchaseCommon Stock 799 $5.50 $4,394.50
Disclosure

SEC source: 0001567619-21-021415 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,613

F1 · balance_after: Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.

Read SEC document
November 23, 2021 Filed Nov 23, 2021 22:15 UTC
ALSTODT LANCEDirector · President, CEO, COB
PurchaseCommon Stock 2,500 $6.00 $15,000.00
Disclosure

SEC source: 0001567619-21-021072 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,814

F1 · balance_after: Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.

Read SEC document
November 22, 2021 Filed Nov 22, 2021 22:29 UTC
ALSTODT LANCEDirector · President, CEO, COB
PurchaseCommon Stock 396 $6.31 $2,498.76
Disclosure

SEC source: 0001567619-21-020992 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,314

F1 · balance_after: Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.

Read SEC document
November 19, 2021 Filed Nov 22, 2021 17:17 UTC
Silva FranciscoDirector · VP of Research and Development
PurchaseCommon Stock 4,000 $6.66 $26,626.00
Disclosure

SEC source: 0001567619-21-020924 · doc1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 11,829

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $6.605 to $6.81, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

Read SEC document
November 16, 2021 Filed Nov 16, 2021 23:07 UTC
ALSTODT LANCEDirector · President, CEO, COB
PurchaseCommon Stock 1,500 $6.51 $9,765.00
Disclosure

SEC source: 0001567619-21-020595 · doc1.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,918

F2 · balance_after: Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.

Read SEC document
November 16, 2021 Filed Nov 16, 2021 23:07 UTC
ALSTODT LANCEDirector · President, CEO, COB
PurchaseCommon Stock 200 $6.55 $1,310.00
Disclosure

SEC source: 0001567619-21-020595 · doc1.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,418

F2 · balance_after: Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.

Read SEC document
November 16, 2021 Filed Nov 16, 2021 23:07 UTC
ALSTODT LANCEDirector · President, CEO, COB
PurchaseCommon Stock 1,800 $6.87 $12,366.00
Disclosure

SEC source: 0001567619-21-020595 · doc1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,218

F2 · balance_after: Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.

Read SEC document
November 16, 2021 Filed Nov 16, 2021 23:07 UTC
ALSTODT LANCEDirector · President, CEO, COB
PurchaseCommon Stock 1,000 $6.76 $6,760.00
Disclosure

SEC source: 0001567619-21-020595 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,418

F1 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $6.74 to $6.77, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: Includes 146,740 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 48,914 shares on March 18, 2022 and 48,913 shares on each of March 18, 2023 and March 18, 2024.

Read SEC document
November 16, 2021 Filed Nov 16, 2021 22:23 UTC
Silva FranciscoDirector · VP of Research and Development
PurchaseCommon Stock 4,000 $6.63 $26,500.00
Disclosure

SEC source: 0001567619-21-020585 · doc1.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 7,829

Read SEC document
November 16, 2021 Filed Nov 16, 2021 22:23 UTC
Silva FranciscoDirector · VP of Research and Development
PurchaseCommon Stock 3,826 $6.83 $26,131.58
Disclosure

SEC source: 0001567619-21-020585 · doc1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 3,829

F2 · price: The price reported is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $6.73 to $6.88, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:42 UTC
Rosa David ADirector
GrantStock Option · Derivative 10,490 $0.00 Strike: $13.50 $0.00
Disclosure

SEC source: 0001567619-21-019510 · doc1.xml · derivative · entry 1

Rosa David A · CIK 0001540354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,490

Underlying: Common Stock · 10,490 shares

Expires 2031-11-04

F1 · derivative.exercise_date: The option vests and becomes exercisable in eight nearly-equal, quarterly installments beginning on February 4, 2022 and continuing every three months thereafter until fully vested.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:38 UTC GrantStock Option · Derivative 10,490 $0.00 Strike: $13.50 $0.00
Disclosure

SEC source: 0001567619-21-019503 · doc1.xml · derivative · entry 1

Williams Patrick F. · CIK 0001562229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,490

Underlying: Common Stock · 10,490 shares

Expires 2031-11-04

F1 · derivative.exercise_date: The option vests and becomes exercisable in eight nearly-equal quarterly installments beginning on February 4, 2022 and continuing every three months thereafter until fully vested.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:35 UTC
Silva FranciscoDirector · VP of Research and Development
GrantStock Option · Derivative 42,059 $0.00 Strike: $13.50 $0.00
Disclosure

SEC source: 0001567619-21-019498 · doc1.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,059

Underlying: Common Stock · 42,059 shares

Expires 2031-11-04

F8 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 21,030 shares on November 4, 2021 with the remaining 21,029 shares vesting quarterly in eight nearly equal installments beginning on November 4, 2022.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:35 UTC
Silva FranciscoDirector · VP of Research and Development
GrantStock Option · Derivative 293,479 $0.00 Strike: $13.50 $0.00
Disclosure

SEC source: 0001567619-21-019498 · doc1.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,479

Underlying: Common Stock · 293,479 shares

Expires 2031-03-18

F7 · 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 with an adjusted exercise price and vesting dates.

F6 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 146,740 shares on March 18, 2021, 36,684 shares on November 4, 2021 and the remaining 110,055 shares in six nearly equal quarterly installments beginning December 18, 2021 and continuing every three months thereafter until fully vested.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:35 UTC
Silva FranciscoDirector · VP of Research and Development
Disposition to issuerStock Option · Derivative 293,479 $0.00 Strike: $47.60 $0.00
Disclosure

SEC source: 0001567619-21-019498 · doc1.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 293,794 shares

Expires 2031-03-18

F2 · shares: Reflects a 1-for-4,000 reverse split effected by the issuer on October 27, 2021.

F7 · 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 with an adjusted exercise price and vesting dates.

F5 · derivative.exercise_date: The option vests to the extent of 146,740 shares on March 18, 2021, 73,370 shares on March 18, 2022 and 73,369 shares on March 18, 2023.

F2 · derivative.underlying_shares: Reflects a 1-for-4,000 reverse split effected by the issuer on October 27, 2021.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:32 UTC GrantStock Option · Derivative 25,236 $0.00 Strike: $13.50 $0.00
Disclosure

SEC source: 0001567619-21-019496 · doc1.xml · derivative · entry 1

Kukekov Nickolay V. · CIK 0001827573 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,236

Underlying: Common Stock · 25,236 shares

Expires 2031-11-04

F1 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 12,618 shares on November 4, 2021 with the remaining 12,618 shares vesting quarterly in eight nearly equal installments beginning November 4, 2022 and continuing every three months thereafter until fully vested.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:30 UTC
ALSTODT LANCEDirector · President, CEO, COB
GrantStock Option · Derivative 42,059 $0.00 Strike: $13.50 $0.00
Disclosure

SEC source: 0001567619-21-019494 · doc1.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,059

Underlying: Common Stock · 42,059 shares

Expires 2031-11-04

F6 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 21,030 shares on November 4, 2021 with the remaining 21,029 shares vesting quarterly in eight nearly equal installments beginning on November 4, 2022.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:30 UTC
ALSTODT LANCEDirector · President, CEO, COB
GrantStock Option · Derivative 293,479 $0.00 Strike: $13.50 $0.00
Disclosure

SEC source: 0001567619-21-019494 · doc1.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,479

Underlying: Common Stock · 293,479 shares

Expires 2031-03-18

F5 · 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 with an adjusted exercise price and vesting dates.

F4 · derivative.exercise_date: The option vests and becomes exercisable to the extent of 146,740 shares on March 18, 2021, 36,684 shares on November 4, 2021 with the remaining 110,055 shares in six nearly equal quarterly installments beginning December 18, 2021 and continuing every three months thereafter until fully vested.

Read SEC document
November 04, 2021 Filed Nov 8, 2021 22:30 UTC
ALSTODT LANCEDirector · President, CEO, COB
Disposition to issuerStock Option · Derivative 293,479 $0.00 Strike: $47.60 $0.00
Disclosure

SEC source: 0001567619-21-019494 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 293,479 shares

Expires 2031-03-18

F2 · shares: Reflects a 1-for-4,000 reverse split effected by the issuer on October 27, 2021.

F5 · 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 with an adjusted exercise price and vesting dates.

F3 · derivative.exercise_date: The option vests to the extent of 146,740 shares on March 18, 2021, 73,370 shares on March 18, 2022 and 73,369 shares on March 18, 2023.

F2 · derivative.underlying_shares: Reflects a 1-for-4,000 reverse split effected by the issuer on October 27, 2021.

Read SEC document
November 04, 2021 Filed Nov 16, 2021 21:24 UTC
Kristal Robert EugeneChief Financial Officer
GrantStock Option · Derivative 10,490 $0.00 Strike: $13.50 $0.00
Disclosure

SEC source: 0001567619-21-020581 · doc1.xml · derivative · entry 1

Kristal Robert Eugene · CIK 0001893955 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,490

Underlying: Common Stock · 10,490 shares

Expires 2031-11-04

F1 · derivative.exercise_date: The option vests and becomes exercisable in eight nearly-equal quarterly installments beginning on February 4, 2022 and continuing every three months thereafter until fully vested.

Read SEC document
March 18, 2021 Filed Mar 19, 2021 21:05 UTC
Silva FranciscoDirector · VP of Research and Development · 10% owner
GrantStock Option · Derivative 1,173,917,974 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001567619-21-006692 · doc1.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,173,917,974

Underlying: Common Stock · 1,173,917,974 shares

Expires 2031-03-18

F14 · derivative.exercise_date: Such shares vest to the extent of 586,958,987 shares on the date of grant, 293,479,494 shares on March 18, 2022 and 293,479,493 shares on March 18, 2023.

Read SEC document
March 18, 2021 Filed Mar 19, 2021 21:05 UTC
Silva FranciscoDirector · VP of Research and Development · 10% owner
GrantCommon Stock 586,958,987 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-21-006692 · 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: 595,390,616

F1 · price: Shares received pursuant to a restricted stock unit grant. Vests in three nearly equal annual installments beginning March 18, 2022.

F2 · balance_after: Includes 586,958,987 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 195,652,996 shares on each of March 18, 2022 and March 18, 2023 and 195,652,995 shares on March 18, 2024.

Read SEC document
March 18, 2021 Filed Mar 19, 2021 21:03 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
GrantStock Option · Derivative 1,173,917,974 $0.00 Strike: $0.01 $0.00
Disclosure

SEC source: 0001567619-21-006690 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,173,917,974

Underlying: Common Stock · 1,173,917,974 shares

Expires 2031-03-18

F3 · derivative.exercise_date: Such shares vest to the extent of 586,958,987 shares on the date of grant, 293,479,494 shares on March 18, 2022 and 293,479,493 shares on March 18, 2023.

Read SEC document
March 18, 2021 Filed Mar 19, 2021 21:03 UTC
ALSTODT LANCEDirector · President, CEO, COB · 10% owner
GrantCommon Stock 586,958,987 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-21-006690 · 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: 605,670,653

F1 · price: Shares received pursuant to a restricted stock unit grant. Vests in three nearly equal annual installments beginning March 18, 2022.

F2 · balance_after: Includes 586,958,987 shares received pursuant to an unvested restricted stock unit grant. Such shares vest to the extent of 195,652,996 shares on each of March 18, 2022 and March 18, 2023 and 195,652,995 shares on March 18, 2024.

Read SEC document
November 23, 2020 Filed Nov 24, 2020 21:11 UTC
ALSTODT LANCEDirector · President, CEO, COB
OtherCommon Stock 18,661,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-020268 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,711,666

F1 · kind: Shares acquired from Issuer pursuant to amended joint plan of reorganization of Issuer (the "Plan"). Pursuant to the Plan, 100 shares of common stock were issued for each dollar of allowed unsecured claim.

F1 · price: Shares acquired from Issuer pursuant to amended joint plan of reorganization of Issuer (the "Plan"). Pursuant to the Plan, 100 shares of common stock were issued for each dollar of allowed unsecured claim.

Read SEC document
November 23, 2020 Filed Nov 24, 2020 21:02 UTC
Silva FranciscoDirector · VP of Research and Development
OtherCommon Stock 8,375,671 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-020265 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,431,629

F12 · kind: Shares acquired from Issuer pursuant to amended joint plan of reorganization of Issuer (the "Plan"). Pursuant to the Plan, 100 shares of common stock were issued for each dollar of allowed unsecured claim.

F12 · price: Shares acquired from Issuer pursuant to amended joint plan of reorganization of Issuer (the "Plan"). Pursuant to the Plan, 100 shares of common stock were issued for each dollar of allowed unsecured claim.

Read SEC document
January 06, 2020 Filed Jan 9, 2020 00:04 UTC PurchaseCommon Stock 4,710,210 $0.01 $51,812.31
Disclosure

SEC source: 0001567619-20-000794 · doc1.xml · nonDerivative · entry 2

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,823,795

F2 · price: This transaction was executed in multiple trades at prices ranging from $.0101 to $.0138 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.

F3 · ownership.nature: Owned by Fleetco, Inc. of which reporting person is sole shareholder.

Read SEC document
January 06, 2020 Filed Jan 9, 2020 00:04 UTC PurchaseCommon Stock 3,750,000 $0.01 $51,000.00
Disclosure

SEC source: 0001567619-20-000794 · doc1.xml · nonDerivative · entry 1

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,549,712

F1 · price: This transaction was executed in multiple trades at prices ranging from $.013 to $.0138 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.

Read SEC document
December 09, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 81,000 $0.04 $2,916.00
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 12

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,113,585

F1 · ownership.nature: Owned by Fleetco, Inc. of which reporting person is sole shareholder.

Read SEC document
December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 3,333,333 Not disclosed Strike: $0.03 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 22

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333,333

Underlying: Common Stock · 3,333,333 shares

Expires 2024-10-16

F3 · price: The reported transaction 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
December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 3,333,333 Not disclosed Strike: $0.20 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 21

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,333,333 shares

Expires 2024-10-16

F3 · price: The reported transaction 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
December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 555,555 Not disclosed Strike: $0.03 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 20

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 555,555

Underlying: Common Stock · 555,555 shares

Expires 2024-05-07

F3 · price: The reported transaction 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
December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 555,555 Not disclosed Strike: $0.15 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 19

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 555,555 shares

Expires 2024-05-07

F3 · price: The reported transaction 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
December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 555,556 Not disclosed Strike: $0.03 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 18

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 555,556

Underlying: Common Stock · 555,556 shares

Expires 2024-05-07

F3 · price: The reported transaction 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
December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 555,556 Not disclosed Strike: $0.15 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 17

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 555,556 shares

Expires 2024-05-07

F3 · price: The reported transaction 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
December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 500,000 Not disclosed Strike: $0.03 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 16

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2024-02-19

F3 · price: The reported transaction 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.

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December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 500,000 Not disclosed Strike: $0.15 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 15

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2024-02-19

F3 · price: The reported transaction 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.

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December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 500,000 Not disclosed Strike: $0.03 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 14

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2024-02-19

F3 · price: The reported transaction 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.

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December 06, 2019 Filed Dec 10, 2019 22:30 UTC OtherWarrant to acquire Common Stock · Derivative 500,000 Not disclosed Strike: $0.15 Not disclosed
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · derivative · entry 13

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2024-02-19

F3 · price: The reported transaction 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.

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December 06, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 1,010,085 $0.03 $32,423.73
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 11

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,032,585

F2 · price: This transaction was executed in multiple trades at prices ranging from $.0279 to $.04 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.

F1 · ownership.nature: Owned by Fleetco, Inc. of which reporting person is sole shareholder.

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December 06, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 304,237 $0.03 $7,605.93
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 10

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,799,712

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December 05, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 20,000 $0.03 $560.00
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 9

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 22,500

F1 · ownership.nature: Owned by Fleetco, Inc. of which reporting person is sole shareholder.

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December 05, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 223,030 $0.03 $5,575.75
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 8

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,495,475

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December 05, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 7,649 $0.03 $221.82
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 7

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,272,445

Read SEC document
December 04, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 200,000 $0.03 $6,000.00
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 6

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,264,796

Read SEC document
December 04, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 92,351 $0.03 $2,724.35
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 5

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,064,796

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November 21, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 58,000 $0.05 $2,900.00
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 4

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,972,445

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November 21, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 80,000 $0.05 $3,920.00
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 3

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,914,445

Read SEC document
November 15, 2019 Filed Dec 10, 2019 22:30 UTC PurchaseCommon Stock 10,000 $0.07 $740.00
Disclosure

SEC source: 0001567619-19-022842 · doc1.xml · nonDerivative · entry 2

Broadrick Dale · CIK 0001677513 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,834,445

Read SEC document

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