0001104659-23-061539.txt : 20230516 0001104659-23-061539.hdr.sgml : 20230516 20230516203328 ACCESSION NUMBER: 0001104659-23-061539 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: Mehta Vimal CENTRAL INDEX KEY: 0001733369 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38410 FILM NUMBER: 23929394 MAIL ADDRESS: STREET 1: 780 EAST MAIN STREET STREET 2: C/O BIOXCEL THERAPEUTICS, INC. CITY: BRANFORD STATE: CT ZIP: 06405 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 tm2316022-3_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-05-14 0 0001720893 BioXcel Therapeutics, Inc. BTAI 0001733369 Mehta Vimal C/O BIOXCEL THERAPEUTICS, INC. 555 LONG WHARF DRIVE, 12TH FLOOR NEW HAVEN CT 06511 0 1 0 0 CEO and President 0 Common Stock 2023-05-14 4 M 0 15000 A 30894 D Common Stock 2000 I By spouse Restricted Stock Units 2023-05-14 4 M 0 15000 0 D Common Stock 15000 0 D Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. On May 14, 2022, the Reporting Person was granted 15,000 RSUs that vested and settled on May 14, 2023. This Form 4 does not include 8,546,750 shares of common stock previously reported as indirectly owned by the Reporting Person because the Reporting Person is not presently considered the beneficial owner of such shares. /s/ Richard Steinhart, as attorney-in-fact for Vimal Mehta 2023-05-16