0001104659-23-101635.txt : 20230918 0001104659-23-101635.hdr.sgml : 20230918 20230918164709 ACCESSION NUMBER: 0001104659-23-101635 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230914 FILED AS OF DATE: 20230918 DATE AS OF CHANGE: 20230918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mehta Vimal CENTRAL INDEX KEY: 0001733369 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38410 FILM NUMBER: 231261664 MAIL ADDRESS: STREET 1: 780 EAST MAIN STREET STREET 2: C/O BIOXCEL THERAPEUTICS, INC. CITY: BRANFORD STATE: CT ZIP: 06405 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 tm2326350d1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2023-09-14 0 0001720893 BioXcel Therapeutics, Inc. BTAI 0001733369 Mehta Vimal C/O BIOXCEL THERAPEUTICS, INC. 555 LONG WHARF DRIVE, 12TH FLOOR NEW HAVEN CT 06511 1 1 0 0 CEO and President 0 Common Stock 2023-09-14 4 M 0 2610 A 29613 D Common Stock 2000 I By spouse Restricted Stock Units 2023-09-14 4 M 0 2610 0 D Common Stock 2610 26094 D Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. 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. 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. /s/ Richard Steinhart, as Attorney in Fact for Vimal Mehta, Ph.D. 2023-09-18