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BioStem Technologies (BSEM) director details options, RSUs and stock stake

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Form Type
3

Rhea-AI Filing Summary

BioStem Technologies, Inc. director Kenneth Howard Warrington Jr. reported his equity holdings. He holds a stock option for 7,462 shares of common stock at an exercise price of $1.80 per share, expiring on March 29, 2032, which is fully vested and exercisable. He also holds restricted stock units (RSUs) covering 8,467 shares that vest in equal quarterly installments over three years from the grant date of September 15, 2024, and additional RSUs covering 5,094 shares that vest in equal quarterly installments over the year following the grant date of August 27, 2025. Each RSU represents a contingent right to receive one share of common stock. In addition, he directly owns 27,140 shares of common stock.

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Insider WARRINGTON KENNETH HOWARD JR
Role Director
Type Security Shares Price Value
holding Stock Option (Right to Buy) F1 -- -- --
holding Restricted Stock Units F3, F2 -- -- --
holding Restricted Stock Units F3, F4 -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Stock Option (Right to Buy) — 7,462 shares (Direct); Restricted Stock Units — 13,561 shares (Direct); Common Stock — 27,140 shares (Direct)
Footnotes (4)
  1. F1. These options are fully vested and exercisable.
  2. F2. These restricted stock units vest in equal quarterly installments over 3 years from the grant date (September 15, 2024).
  3. F3. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
  4. F4. These restricted stock units vest in equal quarterly installments over the year following the grant date (August 27, 2025).
Common stock directly owned 27,140 shares Direct common stock holdings reported by Kenneth Howard Warrington Jr.
Stock option underlying shares 7,462 shares Fully vested stock option to buy common stock
Stock option exercise price $1.80 per share Exercise price for 7,462-share stock option expiring March 29, 2032
Stock option expiration March 29, 2032 Expiration date of fully vested stock option
RSUs grant 1 underlying shares 8,467 shares RSUs vesting quarterly over three years from September 15, 2024
RSUs grant 2 underlying shares 5,094 shares RSUs vesting quarterly over the year following August 27, 2025
Restricted Stock Units financial
"These restricted stock units vest in equal quarterly installments over 3 years"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Stock Option (Right to Buy) financial
"Stock Option (Right to Buy) for common stock at an exercise price of $1.80"
contingent right financial
"Each restricted stock unit represents a contingent right to receive one share"
vest in equal quarterly installments financial
"These restricted stock units vest in equal quarterly installments over 3 years"

FAQ

What did BioStem Technologies (BSEM) disclose about Kenneth Warrington Jr.'s stock options?

Kenneth Howard Warrington Jr. holds a fully vested stock option for 7,462 shares of BioStem Technologies common stock at an exercise price of $1.80 per share, expiring on March 29, 2032. These options are currently exercisable according to the disclosure.

How many RSUs does Kenneth Warrington Jr. hold in BioStem Technologies (BSEM)?

He holds two restricted stock unit awards totaling 13,561 underlying shares: 8,467 RSUs vesting quarterly over three years from September 15, 2024, and 5,094 RSUs vesting quarterly over the year following August 27, 2025. Each RSU equals one common share.

What common stock holdings does Kenneth Warrington Jr. report in BioStem Technologies (BSEM)?

Kenneth Howard Warrington Jr. reports direct ownership of 27,140 shares of BioStem Technologies common stock. This is in addition to his stock options and restricted stock units, which, if exercised or vested, would increase his effective equity exposure.

Do Kenneth Warrington Jr.’s options in BioStem Technologies (BSEM) have a specific expiration date?

Yes. His reported stock option for 7,462 underlying shares of BioStem Technologies common stock carries an exercise price of $1.80 and an expiration date of March 29, 2032. The filing states these options are fully vested and exercisable.

How do the RSUs for BioStem Technologies (BSEM) vest for Kenneth Warrington Jr.?

One RSU grant of 8,467 shares vests in equal quarterly installments over three years from September 15, 2024. Another grant of 5,094 shares vests in equal quarterly installments over the year following August 27, 2025, each RSU converting into one common share upon vesting.

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Learn about SEC filing dates
SEC Form 3
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
WARRINGTON KENNETH HOWARD JR

(Last)(First)(Middle)
C/O BIOSTEM TECHNOLOGIES, INC.
2836 CENTER PORT CIRCLE

(Street)
POMPANO BEACH FLORIDA 33064

(City)(State)(Zip)

UNITED STATES

(Country)
2. Date of Event Requiring Statement (Month/Day/Year)
08/06/2026
3. Issuer Name and Ticker or Trading Symbol
BioStem Technologies, Inc. [ BSEM ]
3a. Foreign Trading Symbol
5. If Amendment, Date of Original Filed (Month/Day/Year)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock27,140D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy) (1)03/29/2032Common Stock7,462$1.8D
Restricted Stock Units (2) (2)Common Stock8,467(3)D
Restricted Stock Units (4) (4)Common Stock5,094(3)D
Explanation of Responses:
1. These options are fully vested and exercisable.
2. These restricted stock units vest in equal quarterly installments over 3 years from the grant date (September 15, 2024).
3. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
4. These restricted stock units vest in equal quarterly installments over the year following the grant date (August 27, 2025).
/s/ Kenneth Howard Warrington, Jr.08/14/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)