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BioStem Technologies (BSEM) CLCO reports option and RSU equity awards

(Neutral)
(Neutral)
Form Type
3

Rhea-AI Filing Summary

BioStem Technologies, Inc. reported initial equity holdings for officer Katherine Gorrell (CLCO). She holds stock options covering 101,146 shares of common stock at an exercise price of $4.6000 per share, expiring on April 27, 2036. She also holds restricted stock units representing 82,456 underlying shares of common stock. Both the options and RSUs vest 33% on April 27, 2027, the one-year anniversary of the grant date, with the remaining two-thirds vesting in equal quarterly installments over the subsequent two years.

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Insider GORRELL KATHERINE
Role CLCO
Type Security Shares Price Value
holding Stock Option (Right to Buy) F1 -- -- --
holding Restricted Stock Unit F3, F2 -- -- --
Holdings After Transaction: Stock Option (Right to Buy) — 101,146 shares (Direct); Restricted Stock Unit — 82,456 shares (Direct)
Footnotes (3)
  1. F1. These options vest according to the following schedule: 33% will vest on April 27, 2027, the one-year anniversary of the grant date, with the remaining options vesting in equal quarterly installments over the subsequent two year period.
  2. F2. These restricted stock units vest according to the following schedule: 33% will vest on April 27, 2027, the one year anniversary of the grant date, with the remaining units vesting in equal quarterly installments over the subsequent two year period.
  3. F3. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
Stock options underlying shares 101,146 shares Stock Option (Right to Buy) for common stock held directly
Option exercise price $4.6000 per share Exercise price for stock options expiring April 27, 2036
Option expiration date April 27, 2036 Expiration of stock options over 101,146 underlying shares
RSU underlying shares 82,456 shares Restricted stock units representing contingent rights to common shares
Initial vesting date April 27, 2027 33% of both options and RSUs vest on the one-year anniversary of the grant date
Stock Option (Right to Buy) financial
"security_title: "Stock Option (Right to Buy)" for common stock"
Restricted Stock Unit financial
"security_title: "Restricted Stock Unit" with underlying common stock"
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
exercise price financial
"conversion_or_exercise_price: "4.6000" as the exercise price of options"
The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.
contingent right financial
"Each restricted stock unit represents a contingent right to receive one share"

FAQ

What does BioStem Technologies (BSEM) report in Katherine Gorrell’s Form 3?

The Form 3 reports initial equity holdings for officer Katherine Gorrell, including stock options and restricted stock units linked to BioStem Technologies’ common stock, with detailed vesting schedules starting in 2027.

How many stock options does Katherine Gorrell hold at BioStem Technologies (BSEM)?

Katherine Gorrell holds options over 101,146 shares of BioStem Technologies common stock at an exercise price of $4.6000 per share, expiring on April 27, 2036, as disclosed in her Form 3.

How many restricted stock units does Katherine Gorrell have at BioStem Technologies (BSEM)?

She holds 82,456 restricted stock units, each representing a contingent right to receive one share of BioStem Technologies common stock, subject to the vesting schedule described in the Form 3 footnotes.

What is the vesting schedule for Katherine Gorrell’s stock options at BioStem Technologies (BSEM)?

The options vest 33% on April 27, 2027, the one-year anniversary of the grant date, with the remaining options vesting in equal quarterly installments over the following two-year period.

What is the vesting schedule for Katherine Gorrell’s RSUs at BioStem Technologies (BSEM)?

The restricted stock units vest 33% on April 27, 2027, and the remaining two-thirds vest in equal quarterly installments over the next two years, mirroring the schedule of the stock options.

Does the Form 3 for BioStem Technologies (BSEM) show any buy or sell transactions?

No, the Form 3 reflects holdings of stock options and restricted stock units for Katherine Gorrell and does not report any purchase or sale transactions of BioStem Technologies common stock.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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*
GORRELL KATHERINE

(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
CLCO
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)
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)04/27/2036Common Stock101,146$4.6D
Restricted Stock Unit (2) (2)Common Stock82,456(3)D
Explanation of Responses:
1. These options vest according to the following schedule: 33% will vest on April 27, 2027, the one-year anniversary of the grant date, with the remaining options vesting in equal quarterly installments over the subsequent two year period.
2. These restricted stock units vest according to the following schedule: 33% will vest on April 27, 2027, the one year anniversary of the grant date, with the remaining units vesting in equal quarterly installments over the subsequent two year period.
3. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
/s/ Katherine Gorrell08/14/2026
** 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)