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 |
|---|---|---|---|---|---|---|
| December 15, 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 1 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 |
| November 15, 2022 Filed Feb 14, 2023 21:41 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GiftCommon Stock | 145,549 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-021767 · tm236671-1_5seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,546,750 F1 · shares: 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. F1 · ownership.nature: 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. Read SEC document |
| May 14, 2022 Filed May 17, 2022 19:40 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GrantRestricted Stock Units · Derivative | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-061920 · tm2215808-3_4seq1.xml · derivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 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. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. Read SEC document |
| March 14, 2022 Filed Mar 16, 2022 20:17 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GrantStock Option (Right to Buy) · Derivative | 167,000 | $0.00 Strike: $15.31 | $0.00 |
DisclosureSEC source: 0001104659-22-034497 · tm229449-3_4seq1.xml · derivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,000 Underlying: Common Stock · 167,000 shares Expires 2032-03-14 F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 14, 2022 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 14, 2022 Filed Mar 16, 2022 20:17 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GrantRestricted Stock Units · Derivative | 41,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-034497 · tm229449-3_4seq1.xml · derivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,750 Underlying: Common Stock · 41,750 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. F2 · derivative.exercise_date: The RSUs will vest and settle 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 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. F2 · derivative.expiration_date: The RSUs will vest and settle 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 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 |
| June 25, 2021 Filed Jun 29, 2021 21:23 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 473,250 | $30.83 | $14,589,492.98 |
DisclosureSEC source: 0001104659-21-086948 · tm2119762-9_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 8,546,750 F1 · kind: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions. F1 · price: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions. F2 · balance_after: 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. F1 · ownership.nature: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions. F2 · ownership.nature: 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. Read SEC document |
| April 06, 2021 Filed Feb 14, 2022 22:38 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GiftCommon Stock | 102,568 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-023283 · tm226624-2_5seq1.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,546,750 F4 · shares: 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's spouse gifted shares of Parent representing an approximate 1.3% economic interest in 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. F4 · ownership.nature: 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's spouse gifted shares of Parent representing an approximate 1.3% economic interest in 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. Read SEC document |
| April 06, 2021 Filed Feb 14, 2022 22:38 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GiftCommon Stock | 130,659 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-023283 · tm226624-2_5seq1.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,546,750 F3 · shares: 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 1.6% economic interest in Parent from the Reporting Person. 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 · ownership.nature: 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 1.6% economic interest in Parent from the Reporting Person. 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. Read SEC document |
| April 06, 2021 Filed Feb 14, 2022 22:38 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GiftCommon Stock | 130,659 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-023283 · tm226624-2_5seq1.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,546,750 F2 · shares: 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 1.6% economic interest in 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. F2 · ownership.nature: 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 1.6% economic interest in 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. Read SEC document |
| April 06, 2021 Filed Feb 14, 2022 22:38 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GiftCommon Stock | 102,568 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-023283 · tm226624-2_5seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,546,750 F1 · shares: 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 1.3% economic interest in 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. F1 · ownership.nature: 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 1.3% economic interest in 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. Read SEC document |
| March 25, 2021 Filed Mar 30, 2021 00:42 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GrantStock Option (Right to Buy) · Derivative | 250,000 | $0.00 Strike: $41.17 | $0.00 |
DisclosureSEC source: 0001104659-21-043481 · tm217124-11_4seq1.xml · derivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2031-03-25 F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 25, 2021 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 |
| December 01, 2020 Filed Feb 16, 2021 22:29 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GiftCommon Stock | 185,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-024422 · tm216714-4_5seq1.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,020,000 F2 · balance_after: 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 gifted shares of Parent representing a 2.05% economic interest in Parent to the Reporting Person. 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 · ownership.nature: 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 gifted shares of Parent representing a 2.05% economic interest in Parent to the Reporting Person. 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. Read SEC document |
| December 01, 2020 Filed Feb 16, 2021 22:29 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GiftCommon Stock | 185,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-024422 · tm216714-4_5seq1.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,020,000 F1 · balance_after: 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 a 2.05% economic interest in Parent to his spouse. 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. F1 · ownership.nature: 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 a 2.05% economic interest in Parent to his spouse. 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. Read SEC document |
| July 24, 2020 Filed Feb 16, 2021 22:29 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GiftCommon Stock | 80,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-024422 · tm216714-4_5seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| July 24, 2020 Filed Feb 16, 2021 22:27 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | OtherCommon Stock | 80,000 | $60.76 | $4,860,800.00 |
DisclosureSEC source: 0001104659-21-024412 · tm216714-3_4seq1.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 F3 · kind: See footnote (1) These securities were acquired as the result of the distribution of the Issuer's common stock by Parent to the Reporting Person in return for the cancellation of a proportional number of shares owned in Parent owned by the Reporting Person. Read SEC document |
| July 24, 2020 Filed Feb 16, 2021 22:27 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | OtherCommon Stock | 160,000 | $60.76 | $9,721,600.00 |
DisclosureSEC source: 0001104659-21-024412 · tm216714-3_4seq1.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 9,020,000 F1 · kind: 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, BioXcel LLC distributed 160,000 shares of the Issuer's common stock to Parent, which in turn distributed 80,000 of such shares to the Reporting Person in return for the cancellation of a proportional number of shares in Parent owned by the Reporting Person. The remaining 80,000 shares of Issuer's common stock were distributed to a different stockholder of Parent in return for the cancellation of a proportional number of shares in Parent held by such other stockholder. F2 · kind: 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. F1 · balance_after: 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, BioXcel LLC distributed 160,000 shares of the Issuer's common stock to Parent, which in turn distributed 80,000 of such shares to the Reporting Person in return for the cancellation of a proportional number of shares in Parent owned by the Reporting Person. The remaining 80,000 shares of Issuer's common stock were distributed to a different stockholder of Parent in return for the cancellation of a proportional number of shares in Parent held by such other stockholder. F2 · balance_after: 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. F1 · ownership.nature: 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, BioXcel LLC distributed 160,000 shares of the Issuer's common stock to Parent, which in turn distributed 80,000 of such shares to the Reporting Person in return for the cancellation of a proportional number of shares in Parent owned by the Reporting Person. The remaining 80,000 shares of Issuer's common stock were distributed to a different stockholder of Parent in return for the cancellation of a proportional number of shares in Parent held by such other stockholder. F2 · ownership.nature: 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. Read SEC document |
| May 26, 2020 Filed May 28, 2020 20:15 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GrantEmployee Stock Option (right to buy) · Derivative | 250,000 | $0.00 Strike: $45.99 | $0.00 |
DisclosureSEC source: 0001104659-20-067052 · a4.xml · derivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2030-05-25 F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of May 26, 2020 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 |
| February 24, 2020 Filed May 13, 2020 23:24 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | Disposition to issuerCommon Stock | 300,000 | $30.08 | $9,024,000.00 |
DisclosureSEC source: 0001104659-20-061013 · a4.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 9,180,000 F1 · date: The transaction was effected by BioXcel Corporation. Effective April 23, 2020, BioXcel Corporation merged with and into BioXcel LLC. F2 · ownership.nature: These securities are held of record by BioXcel LLC. As of April 23, 2020, 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 shareholder 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. Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 20:16 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 974 | $8.89 | $8,658.86 |
DisclosureSEC source: 0001104659-19-046520 · a4.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,957 F1 · price: The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $8.73 to $9.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 15, 2019 Filed Aug 16, 2019 20:17 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 2,625 | $8.67 | $22,758.75 |
DisclosureSEC source: 0001104659-19-046363 · a4.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO, President & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,983 F2 · price: The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $8.63 to $8.70, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 14, 2019 Filed Aug 16, 2019 20:17 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 358 | $8.44 | $3,021.52 |
DisclosureSEC source: 0001104659-19-046363 · a4.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,358 F1 · price: The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $8.38 to $8.45, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 13, 2019 Filed Aug 14, 2019 20:15 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 1,000 | $8.75 | $8,750.00 |
DisclosureSEC source: 0001104659-19-045931 · a4.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| May 23, 2019 Filed May 29, 2019 00:59 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | GrantStock Option (Right to Buy) · Derivative | 187,700 | $0.00 Strike: $10.04 | $0.00 |
DisclosureSEC source: 0001104659-19-032141 · a4.xml · derivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 187,700 Underlying: Common Stock · 187,700 shares Expires 2029-05-23 F1 · derivative.exercise_date: The option will vest and become exercisable immediately as to 25% of the shares and the remaining 75% in equal monthly installments thereafter until the third anniversary of the grant date. Read SEC document |
| December 14, 2018 Filed Dec 14, 2018 21:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 100 | $4.50 | $450.00 |
DisclosureSEC source: 0001104659-18-073106 · a4.xml · nonDerivative · entry 5 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| December 14, 2018 Filed Dec 14, 2018 21:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 400 | $4.49 | $1,796.00 |
DisclosureSEC source: 0001104659-18-073106 · a4.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,900 Read SEC document |
| December 14, 2018 Filed Dec 14, 2018 21:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 500 | $4.48 | $2,240.00 |
DisclosureSEC source: 0001104659-18-073106 · a4.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,500 Read SEC document |
| December 14, 2018 Filed Dec 14, 2018 21:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 200 | $4.32 | $864.00 |
DisclosureSEC source: 0001104659-18-073106 · a4.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Read SEC document |
| December 14, 2018 Filed Dec 14, 2018 21:30 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 800 | $4.27 | $3,416.00 |
DisclosureSEC source: 0001104659-18-073106 · a4.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,800 Read SEC document |
| December 04, 2018 Filed Dec 4, 2018 22:05 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 500 | $5.15 | $2,575.00 |
DisclosureSEC source: 0001104659-18-071405 · a4.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 Read SEC document |
| December 04, 2018 Filed Dec 4, 2018 22:05 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 500 | $5.09 | $2,545.00 |
DisclosureSEC source: 0001104659-18-071405 · a4.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 15:22 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 500 | $5.20 | $2,600.00 |
DisclosureSEC source: 0001104659-18-071220 · a4.xml · nonDerivative · entry 5 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 15:22 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 100 | $5.18 | $518.00 |
DisclosureSEC source: 0001104659-18-071220 · a4.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 15:22 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 100 | $5.14 | $514.00 |
DisclosureSEC source: 0001104659-18-071220 · a4.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,400 Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 15:22 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 100 | $5.13 | $513.00 |
DisclosureSEC source: 0001104659-18-071220 · a4.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,300 Read SEC document |
| December 03, 2018 Filed Dec 4, 2018 15:22 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 200 | $5.10 | $1,020.00 |
DisclosureSEC source: 0001104659-18-071220 · a4.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200 Read SEC document |
| November 30, 2018 Filed Nov 30, 2018 21:10 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 300 | $5.20 | $1,560.00 |
DisclosureSEC source: 0001104659-18-070826 · a4.xml · nonDerivative · entry 4 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| November 30, 2018 Filed Nov 30, 2018 21:10 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 100 | $5.17 | $517.00 |
DisclosureSEC source: 0001104659-18-070826 · a4.xml · nonDerivative · entry 3 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700 Read SEC document |
| November 30, 2018 Filed Nov 30, 2018 21:10 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 300 | $5.05 | $1,515.00 |
DisclosureSEC source: 0001104659-18-070826 · a4.xml · nonDerivative · entry 2 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600 Read SEC document |
| November 30, 2018 Filed Nov 30, 2018 21:10 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 300 | $5.04 | $1,512.00 |
DisclosureSEC source: 0001104659-18-070826 · a4.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President, Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300 Read SEC document |
| March 12, 2018 Filed Feb 16, 2021 22:27 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | PurchaseCommon Stock | 2,000 | $11.00 | $22,000.00 |
DisclosureSEC source: 0001104659-21-024412 · tm216714-3_4seq1.xml · nonDerivative · entry 1 Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 2,000 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.