Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BioXcel Therapeutics, Inc.BTAI · Entity 8380 | Director · CEO and President | June 15, 2026 | June 18, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BioXcel Therapeutics, Inc.
Report date June 15, 2026 · Filed June 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 69,817 |
Reported balance
After 2026-06-15 transaction · row 1
1 source rowRow 1 · 2026-06-15 · Exercise / conversion · Acquired 219 · Balance 69,817 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,313 |
Reported balance
After 2026-06-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-06-15 · Exercise / conversion · Disposed 219 · Balance 1,313 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F3: On March 15, 2023, the Reporting Person was granted 3,500 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 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. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 125 |
Reported balance
Holding disclosure · report date 2026-06-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 125 |
| Common StockSEC Table I · non-derivative | IndirectBy BioXcel LLC | 480,343 |
Reported balance
Holding disclosure · report date 2026-06-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 480,343 F2: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC and 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. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
F2: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC and 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. 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: On March 15, 2023, the Reporting Person was granted 3,500 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 05, 2024 Filed Jun 6, 2024 20:35 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 283,122 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner BioXcel LLC · CIK 0001651990 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Holdings, Inc. Disclosed balance after: 0 F1 · price: Pursuant to certain agreements, BioXcel LLC transferred 566,245 shares of Common Stock to Parent (defined below) and 42,976 shares of Common Stock to certain of its other members, each in exchange for common interests in BioXcel LLC. Subsequently, Parent transferred 566,245 shares of Common Stock to certain of its stockholders in exchange for their interests in Parent. F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose. Read SEC document |
| June 04, 2024 Filed Jun 6, 2024 20:35 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCall Options (obligation to sell) · Derivative | 120 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · derivative · entry 8 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner BioXcel LLC · CIK 0001651990 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By BioXcel LLC Disclosed balance after: 120 Underlying: Common Stock · 17,906 shares Expires 2026-08-31 F7 · derivative.exercise_price: The warrants underlying each call option will be exercisable for common interests in BioXcel LLC at an exercise price per common interest equal to $1,709.88. F8 · price: BioXcel LLC has agreed to redeem each common interest in BioXcel LLC acquired pursuant to the exercise of the warrant described in footnote 7 above in exchange for 149.22 shares of Common Stock. F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose. Read SEC document |
| June 04, 2024 Filed Jun 6, 2024 20:35 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 126,014 | $1.63 | $205,516.23 |
DisclosureSEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner BioXcel LLC · CIK 0001651990 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By BioXcel LLC Disclosed balance after: 7,811,515 F4 · kind: Represents sales of an amount of shares of Common Stock sufficient to cover certain tax liabilities incurred in connection with the transfers of Common Stock reported herein. F5 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $1.605 to $1.68. The Reporting Persons undertake to provide upon request of the Securities and Exchange Commission 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. F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose. Read SEC document |
| June 04, 2024 Filed Jun 6, 2024 20:35 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 283,123 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner BioXcel LLC · CIK 0001651990 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Holdings, Inc. Disclosed balance after: 283,122 F1 · price: Pursuant to certain agreements, BioXcel LLC transferred 566,245 shares of Common Stock to Parent (defined below) and 42,976 shares of Common Stock to certain of its other members, each in exchange for common interests in BioXcel LLC. Subsequently, Parent transferred 566,245 shares of Common Stock to certain of its stockholders in exchange for their interests in Parent. F3 · balance_after: Reflects securities acquired pursuant to a transaction exempt from reporting under Rule 16a-13. F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose. Read SEC document |
| June 04, 2024 Filed Jun 6, 2024 20:35 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 609,221 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner BioXcel LLC · CIK 0001651990 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By BioXcel LLC Disclosed balance after: 7,937,529 F1 · price: Pursuant to certain agreements, BioXcel LLC transferred 566,245 shares of Common Stock to Parent (defined below) and 42,976 shares of Common Stock to certain of its other members, each in exchange for common interests in BioXcel LLC. Subsequently, Parent transferred 566,245 shares of Common Stock to certain of its stockholders in exchange for their interests in Parent. F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). Vimal Mehta, Ph.D. is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC. By virtue of these relationships, Parent and Dr. Mehta may be deemed to be the beneficial owners of the securities held of record by BioXcel LLC. Each disclaims beneficial ownership of the securities reported herein except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that either of the Reporting Persons is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose. Read SEC document |
| April 04, 2024 Filed Apr 8, 2024 23:32 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 4,439 | $2.62 | $11,651.04 |
DisclosureSEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 43,564 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023. F3 · price: The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.62 to $2.65. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sole at each separate price within the range set forth in this footnote. Read SEC document |
| April 04, 2024 Filed Apr 8, 2024 23:32 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 829 | $2.62 | $2,171.98 |
DisclosureSEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 48,003 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023. Read SEC document |
| March 15, 2024 Filed Apr 8, 2024 23:32 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionRestricted Stock Units · Derivative | 14,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · derivative · entry 8 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 42,000 Underlying: Common Stock · 14,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F6 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 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. F6 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 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. Read SEC document |
| March 15, 2024 Filed Apr 8, 2024 23:32 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 14,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 48,832 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 14, 2024 Filed Apr 8, 2024 23:32 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionRestricted Stock Units · Derivative | 2,610 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · derivative · entry 7 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 20,875 Underlying: Common Stock · 2,610 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F5 · derivative.exercise_date: 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. F5 · derivative.expiration_date: 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. Read SEC document |
| March 14, 2024 Filed Apr 8, 2024 23:32 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 2,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-24-044861 · tm2411220-5_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 34,832 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| December 14, 2023 Filed Dec 18, 2023 21:55 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionRestricted Stock Units · Derivative | 2,609 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-126924 · tm2333119-4_4seq1.xml · derivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,485 Underlying: Common Stock · 2,609 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| December 14, 2023 Filed Dec 18, 2023 21:55 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 2,609 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-126924 · tm2333119-4_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,222 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| September 14, 2023 Filed Sep 18, 2023 20:47 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionRestricted Stock Units · Derivative | 2,610 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-101635 · tm2326350d1_4seq1.xml · derivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,094 Underlying: Common Stock · 2,610 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| September 14, 2023 Filed Sep 18, 2023 20:47 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 2,610 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-101635 · tm2326350d1_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,613 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F2 · balance_after: Represents adjustment in number of shares to correct an inadvertent error in the number of shares directly owned following the reported transaction in the Form 4 filed on May 24, 2023 and Form 4s filed thereafter. Read SEC document |
| June 16, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $0.41 | $0.00 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · derivative · entry 12 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 294,000 Underlying: Common Stock · 30,000 shares Expires 2027-08-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| June 16, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 747 | $21.89 | $16,351.83 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · nonDerivative · entry 8 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 39,903 F2 · kind: 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. Read SEC document |
| June 16, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 4,266 | $20.90 | $89,159.40 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · nonDerivative · entry 7 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 40,650 F2 · kind: 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. F6 · price: 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. Read SEC document |
| June 16, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 24,987 | $20.01 | $499,989.87 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · nonDerivative · entry 6 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 44,916 F2 · kind: 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. F5 · price: 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. Read SEC document |
| June 16, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 30,000 | $0.41 | $12,300.00 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · nonDerivative · entry 5 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 69,903 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $0.41 | $0.00 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · derivative · entry 11 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 324,000 Underlying: Common Stock · 30,000 shares Expires 2027-08-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 8,012 | $21.90 | $175,462.80 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 39,903 F2 · kind: 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. F4 · price: 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. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 21,988 | $21.41 | $470,763.08 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 47,915 F2 · kind: 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. F3 · price: 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. Read SEC document |
| June 15, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 30,000 | $0.41 | $12,300.00 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 69,903 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 14, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionRestricted Stock Units · Derivative | 2,609 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · derivative · entry 10 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 28,704 Underlying: Common Stock · 2,609 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F7 · derivative.exercise_date: 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. F7 · derivative.expiration_date: 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. Read SEC document |
| June 14, 2023 Filed Jun 16, 2023 22:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 2,609 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-072396 · tm2319006-2_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 39,903 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| May 22, 2023 Filed May 24, 2023 20:37 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 6,500 | $25.79 | $167,640.85 |
DisclosureSEC source: 0001104659-23-064163 · tm2316022-4_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 37,294 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.45 to $26.14, 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. Read SEC document |
| May 14, 2023 Filed May 17, 2023 00:33 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionRestricted Stock Units · Derivative | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-061539 · tm2316022-3_4seq1.xml · derivative · entry 3 Mehta Vimal · CIK 0001733369 · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F2 · derivative.exercise_date: On May 14, 2022, the Reporting Person was granted 15,000 RSUs that vested and settled on May 14, 2023. F2 · derivative.expiration_date: On May 14, 2022, the Reporting Person was granted 15,000 RSUs that vested and settled on May 14, 2023. Read SEC document |
| May 14, 2023 Filed May 17, 2023 00:33 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 15,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-061539 · tm2316022-3_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,894 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| March 21, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $0.41 | $0.00 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · derivative · entry 12 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 354,000 Underlying: Common Stock · 30,000 shares Expires 2027-08-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| March 21, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 900 | $20.15 | $18,135.00 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · nonDerivative · entry 8 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,894 F1 · kind: 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. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.08 to $20.21, 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. Read SEC document |
| March 21, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 29,100 | $19.70 | $573,270.00 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · nonDerivative · entry 7 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,794 F1 · kind: 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. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.06 to $20.05, 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. Read SEC document |
| March 21, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 30,000 | $0.41 | $12,300.00 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · nonDerivative · entry 6 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,894 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 20, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $0.41 | $0.00 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · derivative · entry 11 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 384,000 Underlying: Common Stock · 30,000 shares Expires 2027-08-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F9 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| March 20, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 604 | $18.88 | $11,403.52 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · nonDerivative · entry 5 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,894 F1 · kind: 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. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.81 to $19.33, 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. Read SEC document |
| March 20, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 3,896 | $18.22 | $70,985.12 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,498 F1 · kind: 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.79 to $18.75, 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. Read SEC document |
| March 20, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 5,333 | $18.86 | $100,580.38 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,394 F1 · kind: 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. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.75 to $19.33, 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. Read SEC document |
| March 20, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 24,667 | $18.20 | $448,939.40 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,727 F1 · kind: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.75 to $18.74, 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. Read SEC document |
| March 20, 2023 Filed Mar 22, 2023 23:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 30,000 | $0.41 | $12,300.00 |
DisclosureSEC source: 0001104659-23-035711 · tm239796-7_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,394 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 15, 2023 Filed Mar 16, 2023 22:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GrantStock Option (Right to Buy) · Derivative | 168,000 | $0.00 Strike: $19.60 | $0.00 |
DisclosureSEC source: 0001104659-23-033403 · tm239796-4_4seq1.xml · derivative · entry 6 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,000 Underlying: Common Stock · 168,000 shares Expires 2033-03-15 F5 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 15, 2023 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. Read SEC document |
| March 15, 2023 Filed Mar 16, 2023 22:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GrantRestricted Stock Units · Derivative | 56,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-033403 · tm239796-4_4seq1.xml · derivative · entry 5 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,000 Underlying: Common Stock · 56,000 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F4 · derivative.exercise_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units 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. F4 · derivative.expiration_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units 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. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 22:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionRestricted Stock Units · Derivative | 10,437 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-033403 · tm239796-4_4seq1.xml · derivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,313 Underlying: Common Stock · 10,437 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 22:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 10,437 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-033403 · tm239796-4_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,394 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. Read SEC document |
| December 16, 2022 Filed Dec 20, 2022 01:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $0.41 | $0.00 |
DisclosureSEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · derivative · entry 10 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,000 Underlying: Common Stock · 30,000 shares Expires 2027-08-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| December 16, 2022 Filed Dec 20, 2022 01:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 9,887 | $19.92 | $196,949.04 |
DisclosureSEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 6 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,957 F1 · kind: The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1. F3 · price: 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. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.58 to $20.16, inclusive. Read SEC document |
| December 16, 2022 Filed Dec 20, 2022 01:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 20,113 | $19.21 | $386,370.73 |
DisclosureSEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 5 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,844 F1 · kind: The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1. F3 · price: 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. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.57 to $19.54, inclusive. Read SEC document |
| December 16, 2022 Filed Dec 20, 2022 01:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionCommon Stock | 30,000 | $0.41 | $12,300.00 |
DisclosureSEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,957 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 15, 2022 Filed Dec 20, 2022 01:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $0.41 | $0.00 |
DisclosureSEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · derivative · entry 9 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 444,000 Underlying: Common Stock · 30,000 shares Expires 2027-08-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| December 15, 2022 Filed Dec 20, 2022 01:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 7,206 | $20.19 | $145,489.14 |
DisclosureSEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,957 F1 · kind: The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1. F3 · price: 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.13 to $20.29, inclusive. Read SEC document |
| December 15, 2022 Filed Dec 20, 2022 01:00 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 22,794 | $19.86 | $452,688.84 |
DisclosureSEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,163 F1 · kind: The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.13 to $20.12, inclusive. F3 · price: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.