Filing Details
- Accession Number:
- 0001104659-23-001945
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-01-06 20:00:30
- Reporting Period:
- 2023-01-04
- Accepted Time:
- 2023-01-06 20:00:30
- 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 |
|---|---|---|---|---|---|---|---|
| 1733387 | Krishnan Nandabalan | C/O Bioxcel Therapeutics, Inc., 555 Long Wharf Drive New Haven CT 06511 | Yes | No | 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 | 2023-01-04 | 34,111 | $0.41 | 34,111 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-04 | 24,290 | $21.59 | 9,821 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-01-04 | 9,821 | $22.21 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-01-05 | 25,889 | $0.41 | 25,889 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-05 | 25,089 | $22.32 | 800 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-01-05 | 800 | $22.93 | 0 | 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 Options | Disposition | 2023-01-04 | 34,111 | $0.00 | 34,111 | $0.41 |
| Common Stock | Stock Options | Disposition | 2023-01-05 | 25,889 | $0.00 | 25,889 | $0.41 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 379,889 | 2027-08-23 | No | 4 | M | Direct | |
| 354,000 | 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 footnote |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.
- The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $21.03 to $22.0263. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
- The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $22.0367 to $22.42. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
- The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $21.90 to $22.89. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
- The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $22.90 to $23.04. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.
- 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 options are fully vested and exercisable.
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