Vimal Mehta - Dec 31, 2021 Form 5 Insider Report for BioXcel Therapeutics, Inc. (BTAI)

Signature
/s/ Javier Rodriguez, as Attorney in Fact for Vimal Mehta
Stock symbol
BTAI
Transactions as of
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
2/14/2022, 04:38 PM
Previous filing
Jun 29, 2021
Next filing
Mar 16, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BTAI Common Stock Gift $0 -103K -1.19% $0.00 8.55M Apr 6, 2021 See Footnote F1
transaction BTAI Common Stock Gift $0 -131K -1.51% $0.00 8.55M Apr 6, 2021 See Footnote F2
transaction BTAI Common Stock Gift $0 +131K +1.55% $0.00 8.55M Apr 6, 2021 See Footnote F3
transaction BTAI Common Stock Gift $0 -103K -1.19% $0.00 8.55M Apr 6, 2021 See Footnote F4
holding BTAI Common Stock 2K Dec 31, 2021 By spouse
holding BTAI Common Stock 9.96K Dec 31, 2021 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent representing an approximate 1.3% economic interest in Parent. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.
F2 These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent to his spouse representing an approximate 1.6% economic interest in Parent. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.
F3 These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and indirect stockholder of Parent. On the transaction date, the Reporting Person's Spouse receieved by gift shares of Parent representing a 1.6% economic interest in Parent from the Reporting Person. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.
F4 These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person's spouse gifted shares of Parent representing an approximate 1.3% economic interest in Parent. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.