Nandabalan Krishnan's Form 4 filing
BioXcel Therapeutics, Inc. (BTAIQ) · filed Jan 6, 2023
- Accession no.
- 0001104659-23-001945
- Filed
- Jan 6, 2023, 8:00 PM ET
- Trade date
- Jan 4-5, 2023
- Filing delay
- 2 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 $1.32M. It was filed 2 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 |
|---|---|
| Nandabalan KrishnanCIK 0001733387 | Director, 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 4, 2023 | Common Stock | MOption exerciseAcquired | +34,111 | $0.41 | +$13,985.51 | 34,111 | Direct | |
| Jan 4, 2023 | Common Stock | SSaleDisposed | −24,290 | $21.59F2 | −$524,421.1 | 9,821 | Direct | |
| Jan 4, 2023 | Common Stock | SSaleDisposed | −9,821 | $22.21F3 | −$218,124.41 | 0 | Direct | |
| Jan 5, 2023 | Common Stock | MOption exerciseAcquired | +25,889 | $0.41 | +$10,614.49 | 25,889 | Direct | |
| Jan 5, 2023 | Common Stock | SSaleDisposed | −25,089 | $22.32F4 | −$559,986.48 | 800 | Direct | |
| Jan 5, 2023 | Common Stock | SSaleDisposed | −800 | $22.93F5 | −$18,344 | 0 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 4, 2023 | Common Stock | MOption exerciseDisposed | −34,111 | $0.00 | $0 | 379,889 | Direct | |
| Jan 5, 2023 | Common Stock | MOption exerciseDisposed | −25,889 | $0.00 | $0 | 354,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $21.03 to $22.0263. 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.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $22.0367 to $22.42. 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.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $21.90 to $22.89. 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.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $22.90 to $23.04. 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.
Referenced by the price of 1 transaction in Table I.