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Filing Details

Accession Number:: 0001104659-23-035711
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-03-22 19:30:34
Reporting Period:: 2023-03-20

Accepted Time:: 2023-03-22 19:30:34
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

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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	2023-03-20	30,000	$0.41	50,394	No	4	M	Direct
Common Stock	Disposition	2023-03-20	24,667	$18.20	25,727	No	4	S	Direct
Common Stock	Disposition	2023-03-20	5,333	$18.86	20,394	No	4	S	Direct
Common Stock	Disposition	2023-03-20	3,896	$18.22	16,498	No	4	S	Direct
Common Stock	Disposition	2023-03-20	604	$18.88	15,894	No	4	S	Direct
Common Stock	Acquisiton	2023-03-21	30,000	$0.41	45,894	No	4	M	Direct
Common Stock	Disposition	2023-03-21	29,100	$19.70	16,794	No	4	S	Direct
Common Stock	Disposition	2023-03-21	900	$20.15	15,894	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	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	Stock Option (Right to Buy)	Disposition	2023-03-20	30,000	$0.00	30,000	$0.41
Common Stock	Stock Option (Right to Buy)	Disposition	2023-03-21	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
384,000		2027-08-23	No	4	M	Direct
354,000		2027-08-23	No	4	M	Direct

Reported Non-Derivative Holdings

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

Footnotes

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 $17.75 to $18.74, 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 $18.75 to $19.33, 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 $17.79 to $18.75, 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 $18.81 to $19.33, 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 $19.06 to $20.05, 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 $20.08 to $20.21, 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.
These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of 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, if any. 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.
The option is fully vested and exercisable.