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Filing Details

Accession Number:: 0001104659-24-044861
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-04-08 19:32:27
Reporting Period:: 2024-03-14

Accepted Time:: 2024-04-08 19:32:27
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2024-03-14	2,610	$0.00	34,832	No	4	M	Direct
Common Stock	Acquisiton	2024-03-15	14,000	$0.00	48,832	No	4	M	Direct
Common Stock	Disposition	2024-04-04	829	$2.62	48,003	No	4	S	Direct
Common Stock	Disposition	2024-04-04	4,439	$2.62	43,564	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2024-03-14	2,610	$0.00	2,610	$0.00
Common Stock	Restricted Stock Units	Disposition	2024-03-15	14,000	$0.00	14,000	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
20,875			No	4	M	Direct
42,000			No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,000	Indirect	By spouse
Common Stock	8,546,750	Indirect	By BioXcel LLC

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 December 14, 2023.
The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.62 to $2.65. 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 sole at each separate price within the range set forth in this footnote.
These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC and Parent. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.
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.
On March 15, 2023, the Reporting Person was granted 56,000 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.