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