organization · Reporting owner
BioXcel Holdings, Inc.
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BioXcel Therapeutics, Inc.BTAI · Entity 8380 | 10% owner | June 04, 2024 | June 06, 2024 |
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 04, 2024 · Filed June 06, 2024
Jointly reported with Mehta Vimal, BioXcel LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy BioXcel LLC | 7,685,501 |
Last balance in matching sequence
After 2024-06-05 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2024-06-04 · Sale · Disposed 609,221 · Balance 7,937,529 F1: 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: 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. Row 4 · 2024-06-04 · Sale · Disposed 126,014 · Balance 7,811,515 F4: 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: 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: 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. Row 5 · 2024-06-05 · Sale · Disposed 126,014 · Balance 7,685,501 F4: 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. F6: The price reported is a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $1.55 to $1.635. 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: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy Holdings, Inc. | 283,122 |
Reported balance
After 2024-06-04 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-06-04 · Sale · Disposed 283,123 · Balance 283,122 F1: 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: Reflects securities acquired pursuant to a transaction exempt from reporting under Rule 16a-13. F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectBy Holdings, Inc. | 0 |
Reported balance
After 2024-06-05 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2024-06-05 · Sale · Disposed 283,122 · Balance 0 F1: 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: 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. |
| Call Options (obligation to sell)SEC Table II · derivative / convertible security · Expires 2026-08-31 | IndirectBy BioXcel LLC | 120 |
Reported balance
After 2024-06-04 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2024-06-04 · Sale · Disposed 120 · Balance 120 F7: 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: 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: 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. |
| Common StockSEC Table I · non-derivative | Direct | 43,564 |
Reported balance
Holding disclosure · report date 2024-06-04 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 43,564 |
| Common StockSEC Table I · non-derivative | IndirectBy spouse | 2,000 |
Reported balance
Holding disclosure · report date 2024-06-04 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 2,000 |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
F3: Reflects securities acquired pursuant to a transaction exempt from reporting under Rule 16a-13.
F4: 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: 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.
F6: The price reported is a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $1.55 to $1.635. 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.
F7: 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: 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.
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 | 126,014 | $1.58 | $199,618.78 |
DisclosureSEC source: 0001104659-24-069195 · tm2416676-1_4seq1.xml · nonDerivative · entry 5 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: 7,685,501 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. F6 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $1.55 to $1.635. 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 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 |
| June 25, 2021 Filed Jun 29, 2021 17:21 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | SaleCommon Stock | 473,250 | $30.83 | $14,589,492.98 |
DisclosureSEC source: 0001104659-21-086943 · tm2119762-6_4seq1.xml · nonDerivative · entry 1 BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner 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 the Reporting Person. 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 its 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 the Reporting Person. 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 its 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 Mar 18, 2021 20:21 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | OtherCommon Stock | 160,000 | $60.76 | $9,721,600.00 |
DisclosureSEC source: 0001104659-21-038559 · tm217124-10_4seq1.xml · nonDerivative · entry 3 BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · kind: On the transaction date, the Reporting Person distributed 160,000 shares of the Issuer's common stock owned directly by it to two of its stockholders in exchange for a proportionate reduction in the number of shares in the Reporting Person owned by such stockholders. Read SEC document |
| July 24, 2020 Filed Mar 18, 2021 20:21 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | OtherCommon Stock | 160,000 | $60.76 | $9,721,600.00 |
DisclosureSEC source: 0001104659-21-038559 · tm217124-10_4seq1.xml · nonDerivative · entry 2 BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 F1 · kind: These securities were acquired as the result of the distribution of the Issuer's common stock by BioXcel LLC to the Reporting Person in exchange for a proportionate reduction in the interest in BioXcel LLC owned by the Reporting Person. As a result of such distribution, 160,000 shares of common stock were owned directly by the Reporting Person, with the remainder held of record by BioXcel LLC, which is a subsidiary of the Reporting Person. F1 · balance_after: These securities were acquired as the result of the distribution of the Issuer's common stock by BioXcel LLC to the Reporting Person in exchange for a proportionate reduction in the interest in BioXcel LLC owned by the Reporting Person. As a result of such distribution, 160,000 shares of common stock were owned directly by the Reporting Person, with the remainder held of record by BioXcel LLC, which is a subsidiary of the Reporting Person. Read SEC document |
| July 24, 2020 Filed Mar 18, 2021 20:21 UTC | BioXcel Therapeutics, Inc. BTAI · Entity 8380 | OtherCommon Stock | 160,000 | $60.76 | $9,721,600.00 |
DisclosureSEC source: 0001104659-21-038559 · tm217124-10_4seq1.xml · nonDerivative · entry 1 BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 9,020,000 F1 · kind: These securities were acquired as the result of the distribution of the Issuer's common stock by BioXcel LLC to the Reporting Person in exchange for a proportionate reduction in the interest in BioXcel LLC owned by the Reporting Person. As a result of such distribution, 160,000 shares of common stock were owned directly by the Reporting Person, with the remainder held of record by BioXcel LLC, which is a subsidiary of the Reporting Person. F1 · balance_after: These securities were acquired as the result of the distribution of the Issuer's common stock by BioXcel LLC to the Reporting Person in exchange for a proportionate reduction in the interest in BioXcel LLC owned by the Reporting Person. As a result of such distribution, 160,000 shares of common stock were owned directly by the Reporting Person, with the remainder held of record by BioXcel LLC, which is a subsidiary of the Reporting Person. F3 · 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 its 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.