5//SEC Filing
Nandabalan Krishnan 5
Accession 0001104659-23-021791
CIK 0001720893other
Filed
Feb 13, 7:00 PM ET
Accepted
Feb 14, 4:44 PM ET
Size
10.8 KB
Accession
0001104659-23-021791
Insider Transaction Report
Form 5
Nandabalan Krishnan
Director10% Owner
Transactions
- Gift
Common Stock
2022-11-15−291,097→ 8,546,750 total(indirect: See Footnote) - Gift
Common Stock
2022-11-15+291,097→ 8,546,750 total(indirect: See Footnote) - Gift
Common Stock
2022-11-15−145,549→ 8,546,750 total(indirect: See Footnote)
Footnotes (3)
- [F1]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. On the transaction date, the Reporting Person gifted shares of Parent representing an approximate 1.7% economic interest in the shares of Issuer that are held of record by BioXcel LLC. 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.
- [F2]These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent to his spouse representing an approximate 3.4% economic interest in the shares of Issuer that are held of record by BioXcel LLC. 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.
- [F3]These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and indirect stockholder of Parent. On the transaction date, the Reporting Person's spouse receieved by gift shares of Parent representing a 3.4% economic interest in the shares of Issuer that are 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.
Documents
Issuer
BioXcel Therapeutics, Inc.
CIK 0001720893
Entity typeother
Related Parties
1- filerCIK 0001733387
Filing Metadata
- Form type
- 5
- Filed
- Feb 13, 7:00 PM ET
- Accepted
- Feb 14, 4:44 PM ET
- Size
- 10.8 KB