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Filing Details

Accession Number:: 0001104659-21-008192
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-01-27 16:25:53
Reporting Period:: 2021-01-25

Accepted Time:: 2021-01-27 16:25:53
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1720893	Bioxcel Therapeutics Inc.	BTAI	Pharmaceutical Preparations (2834)	821386754

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1733272	Frank Yocca	C/O Bioxcel Therapeutics, Inc., 555 Long Wharf Drive New Haven CT 06511	Chief Scientific Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-01-25	15,000	$0.41	103,397	No	4	M	Direct
Common Stock	Disposition	2021-01-25	900	$46.94	102,497	No	4	S	Direct
Common Stock	Disposition	2021-01-25	3,472	$47.62	99,025	No	4	S	Direct
Common Stock	Disposition	2021-01-25	6,521	$48.39	92,504	No	4	S	Direct
Common Stock	Disposition	2021-01-25	4,107	$49.35	88,397	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2021-01-25	15,000	$0.00	15,000	$0.41

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
54,310		2027-08-23	No	4	M	Direct

Footnotes

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.875 to $46.97. The reporting person undertakes to provide BioXcel Therapeutics, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.01 to $47.99. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.02 to $48.94. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.00 to $49.74. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The option vested and became exercisable as to 37,209 underlying shares on March 31, 2018, and the remaining 75% of underlying shares have vested or will vest in substantially equal monthly installments over the 36 months between August 23, 2018 and August 22, 2021, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.