EX-FILING FEES 6 tm2329582d2_ex-filingfees.htm EX-FILING FEES

Exhibit 107

 

CALCULATION OF REGISTRATION FEE

 

Table 1 – Newly Registered and Carry Forward Securities
  Security Type Security Class Title Fee
Calculation
or Carry
Forward
Rule
Amount
Registered
Proposed
Maximum
Offering
Price Per
Unit
Maximum
Aggregate Offering
Price
Fee Rate Amount of
Registration
Fee
Newly Registered Securities
Fees To Be Paid Equity Common Stock, $0.001 par value per share(1)  
Fees To Be Paid Equity Preferred Stock, $0.001 par value per share(1)  
Fees To Be Paid Debt Debt Securities  
Fees To Be Paid Other Warrants  
Fees To Be Paid Other Units  
Fees To Be Paid Unallocated (Universal Shelf) (2) 457(o) $350,000,000(3) N/A $ 350,000,000(3) 0.00014760 $      51,660
Fees Previously Paid N/A N/A N/A
Carry Forward Securities
Carry Forward Securities
  Total Offering Amounts   $     350,000,000 $       51,660
  Total Fees Previously Paid      
  Total Fee Offsets       $ 25,525(4)
  Net Fee Due       $      26,135

 

 

 

Table 2 – Fee Offset Claims and Sources
  Registrant or
Filer Name
Form or
Filing Type
File
Number
Initial
Filing Date
Filing
Date
Fee
Offset
Claimed
Security
Type
Associated
with Fee
Offset
Claimed
Security
Title
Associated
with Fee
Offset
Claimed
Unsold
Securities
Associated
with Fee
Offset
Claimed
Unsold
Aggregate
Offering
Amount
Associated
with Fee
Offset
Claimed
Fee Paid
with Fee
Offset
Source
Rule 457(p)
Fee Offset Claims BioXcel Therapeutics, Inc. Form S-3 333-240118 July 27, 2020 $25,525(4) Unallocated (Universal) Shelf N/A N/A $275,343,681(4) N/A
Fee Offset Sources BioXcel Therapeutics, Inc. POSASR 333-240118 March 11, 2022 $27,810(4)  

 

(1)Includes rights to acquire Common Stock or Preferred Stock of the Company under any shareholder rights plan then in effect, if applicable under the terms of any such plan.
(2)An unspecified number of securities or aggregate principal amount, as applicable, is being registered as may from time to time be offered at unspecified prices and, in addition, an unspecified number of additional shares of Common Stock is being registered as may be issued from time to time upon conversion of any Debt Securities that are convertible into Common Stock or pursuant to any anti-dilution adjustments with respect to any such convertible Debt Securities.
(3)Estimated solely for the purpose of calculating the registration fee. No separate consideration will be received for shares of Common Stock that are issued upon conversion of Debt Securities or Preferred Stock or upon exercise of Common Stock Warrants registered hereunder. The aggregate maximum offering price of all securities issued by the Company pursuant to this registration statement will not exceed $350,000,000.
(4)The $350,000,000 of securities registered on behalf of the Company pursuant to this registration statement includes $275,343,681 of the registrant’s unsold securities registered pursuant to the Company’s registration statement on Form S-3 (File No. 333-240118), initially filed with the Securities and Exchange Commission (the “Commission”) on July 27, 2020, as amended by a Post-Effective Amendment No. 1 to Form S-3, filed with the Commission on March 11, 2022, and as further amended by a Post-Effective Amendment No. 2 to Form S-3, filed with the Commission on March 11, 2022, relating to the offer and sale of $300,000,000 in the aggregate of unallocated (universal) shelf securities of the registrant (the “Earlier Registration Statement”), and the offering that included such unsold securities has terminated. In connection with the filing of the Earlier Registration Statement, the registrant utilized previously paid registration fees of $27,810 with respect to unallocated (universal) shelf securities pursuant to Rule 457(o) promulgated under the Securities Act of 1933, as amended (the “Securities Act”), and, as of the date the offering under such registration statement was terminated, an aggregate of $24,656,319 of the registrant’s securities had been sold under such registration statement. Pursuant to Rule 457(p) promulgated under the Securities Act, the registrant hereby offsets the aggregate total dollar amount of the filing fee associated with the unsold securities under the Earlier Registration Statement (being $25,525, calculated at the fee rate in effect at the date of filing of the Earlier Registration Statement of $92.70 per million dollars) against the total filing fee due for this registration statement.