Welcome to our dedicated page for BioRestorative Therapies SEC filings (Ticker: BRTX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
BioRestorative Therapies filings document the regulatory record of a Nevada regenerative medicine company listed on the Nasdaq Capital Market under BRTX. Its disclosures cover BRTX-100 clinical development for chronic lumbar disc disease, the ThermoStem metabolic program, the BioCosmeceutical platform, operating results, risk factors, and the use of capital for research, development, commercialization and working capital.
Recent filings include Form 8-K reports for financial results, Regulation FD presentations, executive compensation actions and material agreements, as well as registration statements for common stock, pre-funded warrants and common stock warrants. Proxy materials describe stockholder voting matters, charter-related proposals, board governance and compensation disclosures.
BioRestorative Therapies, Inc. (BRTX) reports receiving a delinquency notification letter from Nasdaq on August 21, 2026 because it did not timely file its Form 10‑Q for the quarter ended June 30, 2026, putting it out of compliance with Nasdaq Listing Rule 5250(c)(1). The company’s common stock continues to trade on the Nasdaq Capital Market under the symbol BRTX, and the notice has no immediate effect on the listing. BioRestorative Therapies has until October 20, 2026 to submit a plan to regain compliance; if Nasdaq accepts the plan, it may grant an exception of up to 180 days from the Form 10‑Q due date, through February 16, 2027. If Nasdaq does not accept the plan, the company may appeal to a Nasdaq Hearings Panel. The company states it is working to complete and file the Form 10‑Q and to submit a compliance plan.
BioRestorative Therapies, Inc. filed a notification of late filing for its Form 10-Q for the period ended June 30, 2026. The delay arises after the July 2026 resignations of the President/CEO/Chairman and CFO, who claimed “good reason” resignations under purported employment agreements that the company disputes. The CEO is serving concurrently as interim CFO, reducing financial reporting capacity and slowing preparation and review of the interim financial statements. Management, the accountants and the independent registered public accounting firm also need more time to evaluate the accounting treatment of the purported employment agreements and related claims. The company expects to file the Quarterly Report within five calendar days of the prescribed due date and indicates it will continue to report a net loss, needs additional capital, and has previously disclosed substantial doubt about its ability to continue as a going concern.
BioRestorative Therapies, Inc. reported that on August 7, 2026 it suspended, effective immediately, all orders and shipments of its biocosmeceutical product lines, including its ExoCR and BioX products, pending a business review and regulatory assessment. The company stated it has not decided to discontinue these product lines and is reviewing documentation, sourcing, and the regulatory status associated with them. The company noted that outcomes of this review, its ability to resume sales, related costs, and its capital needs are subject to significant risks and uncertainties described in its prior SEC reports.
Alta Partners LLC reports beneficial ownership of BioRestorative Therapies, Inc. common stock on an amended Schedule 13G. Alta Partners, a New York limited liability company, beneficially owns 1,338,133 shares of common stock, representing 4.99% of the class after applying a 4.99% beneficial ownership limitation contained in an applicable warrant.
Alta Partners has sole voting and dispositive power over all 1,338,133 shares and no shared voting or dispositive power. The filing is signed by Steven Cohen as Managing Member of Alta Partners LLC.
BioRestorative Therapies, Inc. has reported an initial statement of beneficial ownership for Esha Randhawa, who is identified as a director of the company. The report shows no reported transactions, no share purchases or sales, and no listed derivative positions for Randhawa.
BioRestorative Therapies, Inc. has a new insider report from Steven Collier Brown, who is identified as a company director. This Form 3 serves as his initial statement as a reporting person and, in the data provided, lists no buy, sell, or derivative transactions.
Biorestorative Therapies, Inc. amended executive employment agreements on July 8, 2026 so that cash severance and accelerated equity vesting are triggered only by a Change in Control involving a reorganization, merger, consolidation or sale of all or substantially all assets, rather than also by changes in share ownership or board composition.
Director David Rosa resigned on July 11, followed on July 13 by President, CEO and Chair Lance Alstodt and CFO Robert Kristal, who resigned and claimed Good Reason based on an asserted Change in Control tied to prior board changes. If their resignations were determined to be for Good Reason, they would claim approximately $2.85 million in aggregate cash severance, accelerated equity and continued benefits. The board has recorded the resignations but disputes that a Change in Control or Good Reason occurred, has initiated an investigation by special counsel into the employment agreements, and is withholding any severance or related benefits pending its outcome.
Effective July 13, 2026, director Katharyn Field was appointed Chief Executive Officer, President and interim Chief Financial Officer, Treasurer and Secretary, becoming the principal executive, financial and accounting officer. The board also elected independent directors Esha Randhawa (Class II, term to the 2028 annual meeting) and Steven Brown (Class III, term to the 2026 annual meeting), redesignated committee roles, and confirmed its audit committee financial expert.
BioRestorative Therapies, Inc. director Mika Grasso has filed an initial Form 3, which is the required statement of beneficial ownership for new insiders. This filing lists Grasso as a director and does not report any buy, sell, or other insider transactions.
BioRestorative Therapies, Inc. director Jatinder Dhaliwal filed an initial ownership report on Form 3. The filing lists him as a director and shows no reportable transactions or derivative positions at this time, indicating there were no recent insider trades disclosed in this report.
BioRestorative Therapies, Inc. director Katharyn Field has filed an initial statement of beneficial ownership on Form 3. The filing identifies her as a director, not an officer and not a ten percent owner, and does not report any specific transactions or holdings.