BioStem Technologies officer converts 253 stock units

Q: How many BSEM shares did Barry Hassett hold after converting RSUs?

Barry Hassett converted 253 restricted stock units into 253 common shares on November 1, 2026; his resulting direct common-stock position was 5,256 shares. No Rule 10b5-1 plan was reported.

The chief commercial officer's reported holdings also include options at $5.50 and $14.89 and additional restricted stock units.

Available on EDGAR 11/03/2026 - 04:30 PM EST Accepted by SEC EDGAR 11/03/2026 - 04:30 PM EST

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Rhea-AI Filing Summary

BioStem Technologies, Inc. Chief Commercial Officer Barry Hassett converted 253 restricted stock units into 253 common shares on November 1, 2026. His reported direct common-stock holdings after the conversion were 5,256 shares. No Rule 10b5-1 plan was reported.

The filing also lists direct options for 11,417 underlying shares at a $14.89 exercise price, expiring February 1, 2035; 2,427 shares at $14.89, expiring October 13, 2035; and 70,485 shares at $5.50, expiring February 11, 2036. Two direct restricted-stock-unit positions represent 4,497 and 58,182 underlying shares.

Insider Trade Summary

253 shares exercised/converted

Exercise 2 txns

Insider HASSETT BARRY

Role Chief Commercial Officer

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units ^{F4, F6}	253	$0.00	$0.00
Exercise	Common Stock	253	$0.00	$0.00
Holding	Stock Options (Right to Buy) ^F1	--	--	--
Holding	Options (Right to Buy) ^F2	--	--	--
Holding	Options (Right to Buy) ^F3	--	--	--
Holding	Restricted Stock Units ^{F4, F5}	--	--	--
Holding	Restricted Stock Units ^{F4, F7}	--	--	--

Holdings After Transaction: Restricted Stock Units — 63,945 contracts for 62,679 underlying shares (Direct); Common Stock — 5,256 shares (Direct); Stock Options (Right to Buy) — 11,417 contracts (Direct); Options (Right to Buy) — 72,912 contracts (Direct)

Holdings Before and After: Restricted Stock Units, 64,198 to 63,945 contracts (Direct); Common Stock, 5,003 to 5,256 shares (Direct)

Footnotes (7)

F1. These options vest according to the following schedule: 33% vested on February 1, 2026, the one year anniversary of the grant date, with the remaining options vesting in equal quarterly installments over the subsequent two year period.
F2. These options vest according to the following schedule: 33%% vested on October 13, 2026, the one year anniversary of the grant date, with the remaining options vesting in equal quarterly installments over the subsequent two year period.
F3. These options vest according to the following schedule: 33% will vest on February 11, 2027, the one year anniversary of the grant date, with the remaining options vesting in equal quarterly installments over the subsequent two year period.
F4. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
F5. These restricted stock units vest in equal quarterly installments over four years from the grant date (December 9, 2024).
F6. These restricted stock units vest according to the following schedule: 33% vested on February 1, 2026, the one year anniversary of the grant date, with the remaining units vesting in equal quarterly installments over the subsequent two year period.
F7. These restricted stock units vest according to the following schedule: 33% will vest on February 11, 2027, the one year anniversary of the grant date, with the remaining units vesting in equal quarterly installments over the subsequent two year period.

Key Figures

Restricted stock units converted: 253 units Common shares acquired: 253 shares Direct common shares after conversion: 5,256 shares +3 more

6 metrics

Restricted stock units converted 253 units November 1, 2026

Common shares acquired 253 shares November 1, 2026

Direct common shares after conversion 5,256 shares Reported after the November 1, 2026 transaction

Direct options 11,417 underlying shares at a $14.89 exercise price Expiring February 1, 2035

Direct options 2,427 underlying shares at a $14.89 exercise price Expiring October 13, 2035

Direct options 70,485 underlying shares at a $5.50 exercise price Expiring February 11, 2036

Key Terms

Restricted Stock Units, Stock Options (Right to Buy), contingent right, quarterly installments

4 terms

Restricted Stock Units financial

"These restricted stock units vest according to the following schedule"

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 Options (Right to Buy) financial

"Stock Options (Right to Buy)"

contingent right financial

"a contingent right to receive one share of the issuer's common stock"

quarterly installments financial

"remaining options vesting in equal quarterly installments"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many BSEM shares did Barry Hassett hold after converting RSUs?

Barry Hassett converted 253 restricted stock units into 253 common shares on November 1, 2026; his resulting direct common-stock position was 5,256 shares. No Rule 10b5-1 plan was reported.

What stock options does BioStem's chief commercial officer hold?

As of November 1, 2026, the reported direct option positions were 11,417 underlying shares at a $14.89 exercise price, expiring February 1, 2035; 2,427 shares at $14.89, expiring October 13, 2035; and 70,485 shares at $5.50, expiring February 11, 2036.

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

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

HASSETT BARRY

(Last)

(First)

(Middle)

C/O BIOSTEM TECHNOLOGIES, INC.

2836 CENTER PORT CIRCLE

(Street)

POMPANO BEACH

FLORIDA

33064

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
BioStem Technologies, Inc. [ BSEM ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Commercial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	11/01/2026		M		253	A	$0.00	5,256	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Options (Right to Buy)	$14.89							⁽¹⁾	02/01/2035	Common Stock	11,417		11,417	D
Options (Right to Buy)	$14.89							⁽²⁾	10/13/2035	Common Stock	2,427		2,427	D
Options (Right to Buy)	$5.5							⁽³⁾	02/11/2036	Common Stock	70,485		70,485	D
Restricted Stock Units	⁽⁴⁾							⁽⁵⁾	⁽⁵⁾	Common Stock	4,497		4,497	D
Restricted Stock Units	⁽⁴⁾	11/01/2026		M			253	⁽⁶⁾	⁽⁶⁾	Common Stock	253	$0.00	1,266	D
Restricted Stock Units	⁽⁴⁾							⁽⁷⁾	⁽⁷⁾	Common Stock	58,182		58,182	D

Explanation of Responses:

1. These options vest according to the following schedule: 33% vested on February 1, 2026, 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 options vest according to the following schedule: 33%% vested on October 13, 2026, the one year anniversary of the grant date, with the remaining options vesting in equal quarterly installments over the subsequent two year period.

3. These options vest according to the following schedule: 33% will vest on February 11, 2027, the one year anniversary of the grant date, with the remaining options vesting in equal quarterly installments over the subsequent two year period.

4. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

5. These restricted stock units vest in equal quarterly installments over four years from the grant date (December 9, 2024).

6. These restricted stock units vest according to the following schedule: 33% vested on February 1, 2026, the one year anniversary of the grant date, with the remaining units vesting in equal quarterly installments over the subsequent two year period.

7. These restricted stock units vest according to the following schedule: 33% will vest on February 11, 2027, the one year anniversary of the grant date, with the remaining units vesting in equal quarterly installments over the subsequent two year period.

	/s/ Katherine Gorrell, Attorney-in-Fact	11/03/2026
	** Signature of Reporting Person	Date
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 4 (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 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR