Filing Details
- Accession Number:
- 0001104659-22-128367
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-19 20:00:31
- Reporting Period:
- 2022-12-15
- Accepted Time:
- 2022-12-19 20:00:31
- 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 |
|---|---|---|---|---|---|---|---|
| 1733369 | Vimal Mehta | C/O Bioxcel Therapeutics, Inc., 555 Long Wharf Drive New Haven CT 06511 | Ceo And President | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-12-15 | 30,000 | $0.41 | 39,957 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-15 | 22,794 | $19.86 | 17,163 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-12-15 | 7,206 | $20.19 | 9,957 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-12-16 | 30,000 | $0.41 | 39,957 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-16 | 20,113 | $19.21 | 19,844 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-12-16 | 9,887 | $19.92 | 9,957 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-12-15 | 30,000 | $0.00 | 30,000 | $0.41 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-12-16 | 30,000 | $0.00 | 30,000 | $0.41 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 444,000 | 2027-08-23 | No | 4 | M | Direct | |
| 414,000 | 2027-08-23 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,546,750 | Indirect | See Footnotes |
| Common Stock | 2,000 | Indirect | By Spouse |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.13 to $20.12, inclusive.
- The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 ranges 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 $20.13 to $20.29, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.57 to $19.54, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.58 to $20.16, inclusive.
- These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.
- The option is fully vested and exercisable.
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