0001104659-23-006295.txt : 20230124 0001104659-23-006295.hdr.sgml : 20230124 20230124200438 ACCESSION NUMBER: 0001104659-23-006295 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230120 FILED AS OF DATE: 20230124 DATE AS OF CHANGE: 20230124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Neill Vincent CENTRAL INDEX KEY: 0001672718 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38410 FILM NUMBER: 23549450 MAIL ADDRESS: STREET 1: 2150 WOODWARD ST., SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78744 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BioXcel Therapeutics, Inc. CENTRAL INDEX KEY: 0001720893 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 821386754 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 555 LONG WHARF DRIVE CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 203-643-8060 MAIL ADDRESS: STREET 1: 555 LONG WHARF DRIVE CITY: NEW HAVEN STATE: CT ZIP: 06511 4 1 tm232491-2_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-01-20 0 0001720893 BioXcel Therapeutics, Inc. BTAI 0001672718 O'Neill Vincent C/O BIOXCEL THERAPEUTICS, INC. 555 LONG WHARF DRIVE, 12TH FLOOR NEW HAVEN CT 06511 0 1 0 0 Chief Medical Officer Common Stock 2023-01-20 4 M 0 29713 0.41 A 29713 D Common Stock 2023-01-20 4 S 0 29713 30.00 D 0 D Employee Stock Option (right to buy) 0.41 2023-01-20 4 M 0 29713 0 D 2027-08-23 Common Stock 29713 29712 D The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1. The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $30.00 to $30.05. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote. The options are fully vested and exercisable. /s/ Richard I. Steinhart, as Attorney-in-Fact for Vincent O'Neill 2023-01-24