Filing Details
- Accession Number:
- 0001104659-23-072396
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-06-16 18:40:04
- Reporting Period:
- 2023-06-14
- Accepted Time:
- 2023-06-16 18:40:04
- 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 |
|---|---|---|---|---|---|---|---|
| 1733369 | Vimal Mehta | C/O Bioxcel Therapeutics, Inc. 555 Long Wharf Drive, 12Th Floor New Haven CT 06511 | Ceo And President | Yes | 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 | 2023-06-14 | 2,609 | $0.00 | 39,903 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-06-15 | 30,000 | $0.41 | 69,903 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-06-15 | 21,988 | $21.41 | 47,915 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-06-15 | 8,012 | $21.90 | 39,903 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-06-16 | 30,000 | $0.41 | 69,903 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-06-16 | 24,987 | $20.01 | 44,916 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-06-16 | 4,266 | $20.90 | 40,650 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-06-16 | 747 | $21.89 | 39,903 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Restricted Stock Units | Disposition | 2023-06-14 | 2,609 | $0.00 | 2,609 | $0.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-06-15 | 30,000 | $0.00 | 30,000 | $0.41 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-06-16 | 30,000 | $0.00 | 30,000 | $0.41 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 28,704 | No | 4 | M | Direct | ||
| 324,000 | 2027-08-23 | No | 4 | M | Direct | |
| 294,000 | 2027-08-23 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,000 | Indirect | By spouse |
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 plan that complies with Rule 10b5-1 entered into on August 31, 2022.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.83 to $21.825, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 ranges set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.83 to $22.03, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 ranges set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.57 to $20.42, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 ranges set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.59 to $21.44, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 ranges set forth in this footnote.
- On March 14, 2022, the Reporting Person was granted 41,750 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 option is fully vested and exercisable.
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