Mehta Vimal's Form 4 filing
BioXcel Therapeutics, Inc. (BTAIQ) · filed Dec 19, 2022
- Accession no.
- 0001104659-22-128367
- Filed
- Dec 19, 2022, 8:00 PM ET
- Trade date
- Dec 15-16, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.18M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Mehta VimalCIK 0001733369 | Director, Officer (CEO and President), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2022 | Common Stock | MOption exerciseAcquired | +30,000 | $0.41 | +$12,300 | 39,957 | Direct | |
| Dec 15, 2022 | Common Stock | SSaleDisposed | −22,794 | $19.86 | −$452,688.84 | 17,163 | Direct | |
| Dec 15, 2022 | Common Stock | SSaleDisposed | −7,206 | $20.19 | −$145,489.14 | 9,957 | Direct | |
| Dec 16, 2022 | Common Stock | MOption exerciseAcquired | +30,000 | $0.41 | +$12,300 | 39,957 | Direct | |
| Dec 16, 2022 | Common Stock | SSaleDisposed | −20,113 | $19.21 | −$386,370.73 | 19,844 | Direct | |
| Dec 16, 2022 | Common Stock | SSaleDisposed | −9,887 | $19.92 | −$196,949.04 | 9,957 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2022 | Common Stock | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 444,000 | Direct | |
| Dec 16, 2022 | Common Stock | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 414,000 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.