BioXcel Holdings, Inc. 4
4 · BioXcel Therapeutics, Inc. · Filed Mar 18, 2021
Insider Transaction Report
Form 4
BioXcel Holdings, Inc.
10% Owner
Transactions
- Other
Common Stock
2020-07-24$60.76/sh+160,000$9,721,600→ 160,000 total - Other
Common Stock
2020-07-24$60.76/sh−160,000$9,721,600→ 9,020,000 total(indirect: See footnote) - Other
Common Stock
2020-07-24$60.76/sh−160,000$9,721,600→ 0 total
Footnotes (3)
- [F1]These securities were acquired as the result of the distribution of the Issuer's common stock by BioXcel LLC to the Reporting Person in exchange for a proportionate reduction in the interest in BioXcel LLC owned by the Reporting Person. As a result of such distribution, 160,000 shares of common stock were owned directly by the Reporting Person, with the remainder held of record by BioXcel LLC, which is a subsidiary of the Reporting Person.
- [F2]On the transaction date, the Reporting Person distributed 160,000 shares of the Issuer's common stock owned directly by it to two of its stockholders in exchange for a proportionate reduction in the number of shares in the Reporting Person owned by such stockholders.
- [F3]By virtue of these relationships, 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 its 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.