Mehta Vimal's Form 4 filing
BioXcel Therapeutics, Inc. (BTAIQ) · filed Jun 16, 2023
- Accession no.
- 0001104659-23-072396
- Filed
- Jun 16, 2023, 6:40 PM ET
- Trade date
- Jun 14-16, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 8 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.25M. 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 |
|---|---|
| Mehta VimalCIK 0001733369 | Director, Officer (CEO and President) |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 14, 2023 | Common Stock | MOption exerciseAcquired | +2,609 | – | – | 39,903 | Direct | |
| Jun 15, 2023 | Common Stock | MOption exerciseAcquired | +30,000 | $0.41 | +$12,300 | 69,903 | Direct | |
| Jun 15, 2023 | Common Stock | SSaleDisposed | −21,988 | $21.41 | −$470,763.08 | 47,915 | Direct | |
| Jun 15, 2023 | Common Stock | SSaleDisposed | −8,012 | $21.90 | −$175,462.8 | 39,903 | Direct | |
| Jun 16, 2023 | Common Stock | MOption exerciseAcquired | +30,000 | $0.41 | +$12,300 | 69,903 | Direct | |
| Jun 16, 2023 | Common Stock | SSaleDisposed | −24,987 | $20.01 | −$499,989.87 | 44,916 | Direct | |
| Jun 16, 2023 | Common Stock | SSaleDisposed | −4,266 | $20.90 | −$89,159.4 | 40,650 | Direct | |
| Jun 16, 2023 | Common Stock | SSaleDisposed | −747 | $21.89 | −$16,351.83 | 39,903 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jun 14, 2023 | Common Stock | MOption exerciseDisposed | −2,609 | $0.00 | $0 | 28,704 | Direct | |
| Jun 15, 2023 | Common Stock | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 324,000 | Direct | |
| Jun 16, 2023 | Common Stock | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 294,000 | 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.