0001104659-23-075872.txt : 20230628 0001104659-23-075872.hdr.sgml : 20230628 20230628170122 ACCESSION NUMBER: 0001104659-23-075872 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230626 FILED AS OF DATE: 20230628 DATE AS OF CHANGE: 20230628 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MUELLER PETER CENTRAL INDEX KEY: 0001256126 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38410 FILM NUMBER: 231053034 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BioXcel Therapeutics, Inc. CENTRAL INDEX KEY: 0001720893 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 821386754 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 555 LONG WHARF DRIVE CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 203-643-8060 MAIL ADDRESS: STREET 1: 555 LONG WHARF DRIVE CITY: NEW HAVEN STATE: CT ZIP: 06511 4 1 tm2319786-4_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-26 0 0001720893 BioXcel Therapeutics, Inc. BTAI 0001256126 MUELLER PETER C/O BIOXCEL THERAPEUTICS, INC., 555 LONG WHARF DRIVE NEW HAVEN CT 06511 1 0 0 0 0 Stock Option (Right to Buy) 17.52 2023-06-26 4 A 0 17000 0 A 2033-06-26 Common Stock 17000 17000 D The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date. /s/ Richard I. Steinhart, Attorney-in-Fact for Peter Mueller 2023-06-28