4//SEC Filing
Nandabalan Krishnan 4
Accession 0001104659-22-118836
CIK 0001720893other
Filed
Nov 13, 7:00 PM ET
Accepted
Nov 14, 8:00 PM ET
Size
15.9 KB
Accession
0001104659-22-118836
Insider Transaction Report
Form 4
Nandabalan Krishnan
Director10% Owner
Transactions
- Exercise/Conversion
Common Stock
2022-11-10$0.41/sh+27,450$11,255→ 27,450 total - Sale
Common Stock
2022-11-10$15.00/sh−27,450$411,750→ 0 total - Exercise/Conversion
Stock Options
2022-11-11−32,550→ 414,000 totalExercise: $0.41Exp: 2027-08-23→ Common Stock (32,550 underlying) - Exercise/Conversion
Common Stock
2022-11-11$0.41/sh+32,550$13,346→ 32,550 total - Sale
Common Stock
2022-11-11$15.00/sh−32,550$488,250→ 0 total - Exercise/Conversion
Stock Options
2022-11-10−27,450→ 446,550 totalExercise: $0.41Exp: 2027-08-23→ Common Stock (27,450 underlying)
Holdings
- 8,546,750(indirect: See footnote)
Common Stock
Footnotes (5)
- [F1]The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.
- [F2]The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $15.00 to $15.01. The Reporting Person undertakes to provide upon request the SEC 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.
- [F3]The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $15.00 to $15.03. The Reporting Person undertakes to provide upon request the SEC 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.
- [F4]These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. 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 his 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.
- [F5]The options are fully vested and exercisable
Documents
Issuer
BioXcel Therapeutics, Inc.
CIK 0001720893
Entity typeother
Related Parties
1- filerCIK 0001733387
Filing Metadata
- Form type
- 4
- Filed
- Nov 13, 7:00 PM ET
- Accepted
- Nov 14, 8:00 PM ET
- Size
- 15.9 KB