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