| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BTAI | Common Stock | Options Exercise | $11.3K | +27.5K | $0.41* | 27.5K | Nov 10, 2022 | Direct | ||
| transaction | BTAI | Common Stock | Sale | -$412K | -27.5K | -100% | $15.00 | 0 | Nov 10, 2022 | Direct | F1, F2 |
| transaction | BTAI | Common Stock | Options Exercise | $13.3K | +32.6K | $0.41* | 32.6K | Nov 11, 2022 | Direct | ||
| transaction | BTAI | Common Stock | Sale | -$488K | -32.6K | -100% | $15.00 | 0 | Nov 11, 2022 | Direct | F1, F3 |
| holding | BTAI | Common Stock | 8.55M | Nov 10, 2022 | See footnote | F4 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BTAI | Stock Options | Options Exercise | $0 | -27.5K | -5.79% | $0.00 | 447K | Nov 10, 2022 | Common Stock | 27.5K | $0.41 | Direct | F5 |
| transaction | BTAI | Stock Options | Options Exercise | $0 | -32.6K | -7.29% | $0.00 | 414K | Nov 11, 2022 | Common Stock | 32.6K | $0.41 | Direct | F5 |
| Id | Content |
|---|---|
| F1 | The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1. |
| F2 | The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $15.00 to $15.01. 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. |
| F3 | The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $15.00 to $15.03. 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. |
| F4 | 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. 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. |
| F5 | The options are fully vested and exercisable |