Filing Details

Accession Number:
0001104659-23-033408
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-03-16 18:02:03
Reporting Period:
2023-03-14
Accepted Time:
2023-03-16 18:02:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1720893 Bioxcel Therapeutics Inc. BTAI () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1293789 I Richard Steinhart C/O Bioxcel Therapeutics, Inc.
555 Long Wharf Drive, 12Th Floor
New Haven CT 06511
Chief Financial 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 3,584 No 4 M Direct
Common Stock Disposition 2023-03-15 2,084 $19.50 1,500 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
  1. Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
  2. 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.
  3. 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.
  4. 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.
  5. 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.