Filing Details

Accession Number:
0001104659-24-044860
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-04-08 19:32:03
Reporting Period:
2024-03-14
Accepted Time:
2024-04-08 19:32:03
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 2024-03-14 521 $0.00 3,584 No 4 M Direct
Common Stock Acquisiton 2024-03-15 2,250 $0.00 5,834 No 4 M Direct
Common Stock Disposition 2024-04-04 1,069 $2.64 4,765 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
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2024-03-14 521 $0.00 521 $0.00
Common Stock Restricted Stock Units Disposition 2024-03-15 2,250 $0.00 2,250 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
4,169 No 4 M Direct
6,750 No 4 M 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 December 14, 2023.
  3. The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $2.62 to $2.665. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission 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.
  4. 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.
  5. On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting 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 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.