Filing Details
- Accession Number:
- 0001104659-23-033406
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-03-16 18:01:20
- Reporting Period:
- 2023-03-14
- Accepted Time:
- 2023-03-16 18:01:20
- 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, 12Th Floor New Haven CT 06511 | Chief Scientific Officer | No | Yes | No | 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 | 2023-03-14 | 2,084 | $0.00 | 10,481 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-03-15 | 985 | $19.69 | 9,496 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2023-03-14 | 2,084 | $0.00 | 2,084 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2023-03-15 | 9,000 | $0.00 | 9,000 | $0.00 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2023-03-15 | 32,000 | $0.00 | 32,000 | $19.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,253 | No | 4 | M | Direct | ||
| 9,000 | No | 4 | A | Direct | ||
| 32,000 | 2033-03-15 | No | 4 | A | Direct |
Footnotes
- Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 23, 2022.
- This price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.6901 to 19.70. 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.
- On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
- The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
- The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 15, 2023 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
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