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
- 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.
- 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.