0001104659-23-072396.txt : 20230616 0001104659-23-072396.hdr.sgml : 20230616 20230616184004 ACCESSION NUMBER: 0001104659-23-072396 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230614 FILED AS OF DATE: 20230616 DATE AS OF CHANGE: 20230616 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: 231022768 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 tm2319006-2_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-14 0 0001720893 BioXcel Therapeutics, Inc. BTAI 0001733369 Mehta Vimal C/O BIOXCEL THERAPEUTICS, INC. 555 LONG WHARF DRIVE, 12TH FLOOR NEW HAVEN CT 06511 1 1 0 0 CEO and President 1 Common Stock 2023-06-14 4 M 0 2609 A 39903 D Common Stock 2023-06-15 4 M 0 30000 0.41 A 69903 D Common Stock 2023-06-15 4 S 0 21988 21.41 D 47915 D Common Stock 2023-06-15 4 S 0 8012 21.90 D 39903 D Common Stock 2023-06-16 4 M 0 30000 0.41 A 69903 D Common Stock 2023-06-16 4 S 0 24987 20.01 D 44916 D Common Stock 2023-06-16 4 S 0 4266 20.90 D 40650 D Common Stock 2023-06-16 4 S 0 747 21.89 D 39903 D Common Stock 2000 I By spouse Restricted Stock Units 2023-06-14 4 M 0 2609 0 D Common Stock 2609 28704 D Stock Option (Right to Buy) 0.41 2023-06-15 4 M 0 30000 0 D 2027-08-23 Common Stock 30000 324000 D Stock Option (Right to Buy) 0.41 2023-06-16 4 M 0 30000 0 D 2027-08-23 Common Stock 30000 294000 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 plan that complies with Rule 10b5-1 entered into on August 31, 2022. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.83 to $21.825, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.83 to $22.03, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.57 to $20.42, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.59 to $21.44, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. On March 14, 2022, the Reporting Person was granted 41,750 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. The option is fully vested and exercisable. /s/ Richard Steinhart, as Attorney in Fact for Vimal Mehta, Ph.D. 2023-06-16