0001104659-23-043694.txt : 20230410
0001104659-23-043694.hdr.sgml : 20230410
20230410182014
ACCESSION NUMBER: 0001104659-23-043694
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230406
FILED AS OF DATE: 20230410
DATE AS OF CHANGE: 20230410
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nandabalan Krishnan
CENTRAL INDEX KEY: 0001733387
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38410
FILM NUMBER: 23812018
MAIL ADDRESS:
STREET 1: 228 VILLAGE POND ROAD
CITY: GUILFORD
STATE: CT
ZIP: 06437
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
tm2312272-1_4seq1.xml
OWNERSHIP DOCUMENT
X0407
4
2023-04-06
0
0001720893
BioXcel Therapeutics, Inc.
BTAI
0001733387
Nandabalan Krishnan
C/O BIOXCEL THERAPEUTICS, INC.,
555 LONG WHARF DRIVE
NEW HAVEN
CT
06511
1
0
1
0
1
Common Stock
2023-04-06
4
M
0
60000
0.41
A
60000
D
Common Stock
2023-04-06
4
S
0
60000
17.32
D
0
D
Common Stock
8546750
I
See footnote
Stock Options
0.41
2023-04-06
4
M
0
60000
0.00
D
2027-08-23
Common Stock
60000
294000
D
The sale 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 is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $17.03 to $17.70. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold 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. ("Holdings"). By virtue of the Reporting Person's relationship with BioXcel LLC and Holdings, 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 options are fully vested and exercisable.
/s/ Krishnan Nandabalan
2023-04-10