BioStem director acquires 1,694 shares via RSUs

A BioStem Technologies director converted vested restricted stock units into common shares and retains additional RSUs and fully vested options.

Rhea-AI Filing Summary

BioStem Technologies, Inc. (BSEM) director Kenneth Howard Warrington Jr reported an award-related equity transaction on September 15, 2026. He exercised 1,694 restricted stock units, each representing a contingent right to one share of common stock, resulting in the acquisition of 1,694 shares of common stock at a stated price of $0.00 per share. Following this transaction, he held 33,928 shares of common stock directly and 6,773 restricted stock units that continue to vest in equal quarterly installments over three years from the grant date of September 15, 2024. He also directly holds stock options covering 7,462 shares of common stock at an exercise price of $1.80 per share, fully vested and exercisable, expiring March 29, 2032. No Rule 10b5-1 trading plan is reported for these transactions.

Insider Trade Summary

1,694 shares exercised/converted

Exercise 3 txns

Insider WARRINGTON KENNETH HOWARD JR

Role Director

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units F2, F3	1,694	$0.00	$0.00
Exercise	Common Stock	1,694	$0.00	$0.00
holding	Options (Right to Buy) F1	--	--	--

Holdings After Transaction: Restricted Stock Units — 6,773 contracts (Direct); Common Stock — 33,928 shares (Direct); Options (Right to Buy) — 7,462 contracts (Direct)

Footnotes (3)

1. F1. These options are fully vested and exercisable.
2. F2. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
3. F3. These restricted stock units vest in equal quarterly installments over three years from the grant date (September 15, 2024).

Key Figures

Restricted stock units exercised: 1,694 units Common stock acquired: 1,694 shares Common stock holdings after transaction: 33,928 shares +5 more

8 metrics

Restricted stock units exercised 1,694 units RSUs converted into common stock on September 15, 2026

Common stock acquired 1,694 shares Shares received upon RSU exercise on September 15, 2026

Common stock holdings after transaction 33,928 shares Direct ownership after the September 15, 2026 transaction

Restricted stock units remaining 6,773 units Direct RSU holdings following the transaction

Options underlying shares 7,462 shares Underlying common shares for options held directly

Option exercise price $1.80 per share Exercise price for options expiring March 29, 2032

Option expiration date March 29, 2032 Expiration of fully vested options over 7,462 shares

RSU vesting schedule 3 years, equal quarterly installments Vesting from grant date September 15, 2024

Key Terms

Restricted Stock Units, contingent right, Options (Right to Buy), vest in equal quarterly installments, +1 more

5 terms

Restricted Stock Units financial

"Each restricted stock unit represents a contingent right to receive one share"

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.

contingent right financial

"Each restricted stock unit represents a contingent right to receive one share"

Options (Right to Buy) financial

"Options (Right to Buy) with an exercise price of 1.8000 per share"

vest in equal quarterly installments financial

"These restricted stock units vest in equal quarterly installments over three years"

exercise price financial

"Options (Right to Buy) with an exercise price of 1.8000 per share"

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.

FAQ

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

What equity transaction did the BSEM director report on September 15, 2026?

The director exercised 1,694 restricted stock units, receiving 1,694 shares of BioStem Technologies common stock at a stated price of $0.00 per share, as part of an award-related equity transaction.

How many BioStem Technologies (BSEM) common shares does the director hold after this Form 4?

After the reported transaction, the director directly holds 33,928 shares of common stock of BioStem Technologies, Inc., as stated in the filing’s post-transaction ownership figures.

How many restricted stock units does the BSEM director still hold and how do they vest?

The director holds 6,773 restricted stock units after the transaction. These RSUs vest in equal quarterly installments over three years from the grant date of September 15, 2024.

What stock options related to BSEM does the director hold after the transaction?

The director holds options over 7,462 shares of BioStem common stock, with an exercise price of $1.80 per share, fully vested and exercisable, expiring on March 29, 2032, as disclosed in the derivative holdings.

Were the BSEM director’s transactions made under a Rule 10b5-1 trading plan?

No. The filing indicates that the Rule 10b5-1 checkbox is not marked, so no Rule 10b5-1 trading plan is reported in connection with these transactions.

What does each BSEM restricted stock unit represent in this Form 4?

Each restricted stock unit represents a contingent right to receive one share of BioStem Technologies’ common stock, according to the footnote disclosure in the filing.

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

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Available on EDGAR 09/17/2026 - 04:30 PM Accepted by SEC EDGAR 09/17/2026 - 04:30 PM Learn about SEC filing dates

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^*

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/15/2026		M		1,694	A	$0.00	33,928	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Options (Right to Buy)	$1.8							(1)	03/29/2032	Common Stock	7,462		7,462	D
Restricted Stock Units	(2)	09/15/2026		M			1,694	(3)	(3)	Common Stock	1,694	$0.00	6,773	D

Explanation of Responses:

1. These options are fully vested and exercisable.

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

3. These restricted stock units vest in equal quarterly installments over three years from the grant date (September 15, 2024).

	/s/ Katherine Gorrell, Attorney-in-Fact	09/17/2026
	** 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)