4//SEC Filing
Nandabalan Krishnan 4
Accession 0001104659-23-001945
CIK 0001720893other
Filed
Jan 5, 7:00 PM ET
Accepted
Jan 6, 8:00 PM ET
Size
19.9 KB
Accession
0001104659-23-001945
Insider Transaction Report
Form 4
Nandabalan Krishnan
Director10% Owner
Transactions
- Sale
Common Stock
2023-01-04$22.21/sh−9,821$218,124→ 0 total - Sale
Common Stock
2023-01-04$21.59/sh−24,290$524,421→ 9,821 total - Exercise/Conversion
Stock Options
2023-01-05−25,889→ 354,000 totalExercise: $0.41Exp: 2027-08-23→ Common Stock (25,889 underlying) - Exercise/Conversion
Common Stock
2023-01-04$0.41/sh+34,111$13,986→ 34,111 total - Sale
Common Stock
2023-01-05$22.93/sh−800$18,344→ 0 total - Exercise/Conversion
Stock Options
2023-01-04−34,111→ 379,889 totalExercise: $0.41Exp: 2027-08-23→ Common Stock (34,111 underlying) - Exercise/Conversion
Common Stock
2023-01-05$0.41/sh+25,889$10,614→ 25,889 total - Sale
Common Stock
2023-01-05$22.32/sh−25,089$559,986→ 800 total
Holdings
- 8,546,750(indirect: See footnote)
Common Stock
Footnotes (7)
- [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 $21.03 to $22.0263. 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 $22.0367 to $22.42. 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]The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $21.90 to $22.89. 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.
- [F5]The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $22.90 to $23.04. 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.
- [F6]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.
- [F7]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
- Jan 5, 7:00 PM ET
- Accepted
- Jan 6, 8:00 PM ET
- Size
- 19.9 KB