0001104659-23-061537.txt : 20230516
0001104659-23-061537.hdr.sgml : 20230516
20230516202958
ACCESSION NUMBER: 0001104659-23-061537
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230514
FILED AS OF DATE: 20230516
DATE AS OF CHANGE: 20230516
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rodriguez Javier
CENTRAL INDEX KEY: 0001847919
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38410
FILM NUMBER: 23929386
MAIL ADDRESS:
STREET 1: C/O BIOXCEL THERAPEUTICS, INC.
STREET 2: 555 LONG WHARF DRIVE
CITY: NEW HAVEN
STATE: CT
ZIP: 06511
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
tm2316022-1_4seq1.xml
OWNERSHIP DOCUMENT
X0407
4
2023-05-14
0
0001720893
BioXcel Therapeutics, Inc.
BTAI
0001847919
Rodriguez Javier
C/O BIOXCEL THERAPEUTICS, INC.
555 LONG WHARF DRIVE, 12TH FLOOR
NEW HAVEN
CT
06511
0
1
0
0
See Remarks
1
Common Stock
2023-05-14
4
M
0
5000
A
6135
D
Common Stock
2023-05-15
4
S
0
1785
27.3192
D
4350
D
Restricted Stock Units
2023-05-14
4
M
0
5000
0
D
Common Stock
5000
0
D
Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 22, 2022.
The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $27.00 to $27.63. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission 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.
On May 14, 2022, the Reporting Person was granted 5,000 RSUs that vested and settled on May 14, 2023.
Chief Legal Officer, Senior Vice President and Corporate Secretary
/s/ Richard Steinhart, as attorney-in-fact for Javier Rodriguez
2023-05-16