Filing Details

Accession Number:
0001104659-21-006311
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-01-21 16:15:34
Reporting Period:
2021-01-19
Accepted Time:
2021-01-21 16:15:34
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
1672718 Vincent O'neill C/O Bioxcel Therapeutics, Inc.,
555 Long Wharf Drive
New Haven CT 06511
Chief Medical 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 2021-01-19 25,000 $0.41 25,000 No 4 M Direct
Common Stock Disposition 2021-01-19 6,758 $48.43 18,242 No 4 S Direct
Common Stock Disposition 2021-01-19 12,665 $49.27 5,577 No 4 S Direct
Common Stock Disposition 2021-01-19 2,700 $50.38 2,877 No 4 S Direct
Common Stock Disposition 2021-01-19 1,500 $51.45 1,377 No 4 S Direct
Common Stock Disposition 2021-01-19 1,377 $52.45 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S 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 Employee Stock Option (right to buy) Disposition 2021-01-19 25,000 $0.00 25,000 $0.41
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
74,425 2027-08-23 No 4 M Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.02 to $48.99. The reporting person undertakes to provide BioXcel Therapeutics, Inc. (the "Company"), any security holder of the Company, 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 range set forth in this footnote.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.00 to $49.98. The reporting person undertakes to provide the Company, any security holder of the Company, 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 range set forth in this footnote.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.99. The reporting person undertakes to provide the Company, any security holder of the Company, 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 range set forth in this footnote.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.00 to $51.83. The reporting person undertakes to provide the Company, any security holder of the Company, 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 range set forth in this footnote.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.00 to $52.52. The reporting person undertakes to provide the Company, any security holder of the Company, 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 range set forth in this footnote.
  7. The option vested and became exercisable as to 25% of the original 124,425 underlying shares on August 22, 2018, and the remaining 75% of underlying shares have vested or will vest in substantially equal monthly installments over the 36 months thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.