Home > Insider Trading > Filing (0001104659-23-001945)

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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
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

Show Other Fields >>

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.