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Filing Details

Accession Number:: 0001104659-21-025878
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-02-19 19:35:38
Reporting Period:: 2021-02-17

Accepted Time:: 2021-02-19 19:35:38
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-02-17	15,000	$0.41	15,000	No	4	M	Direct
Common Stock	Acquisiton	2021-02-17	10,000	$11.00	25,000	No	4	M	Direct
Common Stock	Disposition	2021-02-17	2,300	$53.77	22,700	No	4	S	Direct
Common Stock	Disposition	2021-02-17	5,655	$54.45	17,045	No	4	S	Direct
Common Stock	Disposition	2021-02-17	6,872	$55.55	10,173	No	4	S	Direct
Common Stock	Disposition	2021-02-17	9,573	$56.60	600	No	4	S	Direct
Common Stock	Disposition	2021-02-17	600	$57.17	0	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
No	4	S	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	Employee Stock Option (right to buy)	Disposition	2021-02-17	15,000	$0.00	15,000	$0.41
Common Stock	Employee Stock Option (right to buy)	Disposition	2021-02-17	10,000	$0.00	10,000	$11.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
59,425		2027-08-23	No	4	M	Direct
21,047		2028-03-12	No	4	M	Direct

Footnotes

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.50 to $53.89. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.09 to $54.88. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.00 to $55.98. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.03 to $56.99. 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.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.03 to $57.25. 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.
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.
The option has vested or will vest as to the original 31,047 underlying shares in substantially equal monthly installments over the 48 months that began on April 12, 2018, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
In the Form 4 reporting the grant of this option award, dated March 13, 2018, the total number of derivative securities beneficially owned was shown as 155,472. The correct number should have been 31,047.