| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BTAI | Common Stock | Options Exercise | $12,300 | +30,000 | +301% | $0.4100* | 39,957 | 15 Dec 2022 | Direct | |
| transaction | BTAI | Common Stock | Sale | $452,689 | -22,794 | -57% | $19.86 | 17,163 | 15 Dec 2022 | Direct | F1, F2, F3 |
| transaction | BTAI | Common Stock | Sale | $145,489 | -7,206 | -42% | $20.19 | 9,957 | 15 Dec 2022 | Direct | F1, F3, F4 |
| transaction | BTAI | Common Stock | Options Exercise | $12,300 | +30,000 | +301% | $0.4100* | 39,957 | 16 Dec 2022 | Direct | |
| transaction | BTAI | Common Stock | Sale | $386,371 | -20,113 | -50% | $19.21 | 19,844 | 16 Dec 2022 | Direct | F1, F3, F5 |
| transaction | BTAI | Common Stock | Sale | $196,949 | -9,887 | -50% | $19.92 | 9,957 | 16 Dec 2022 | Direct | F1, F3, F6 |
| holding | BTAI | Common Stock | 8,546,750 | 15 Dec 2022 | See Footnotes | F7 | |||||
| holding | BTAI | Common Stock | 2,000 | 15 Dec 2022 | By Spouse |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BTAI | Stock Option (Right to Buy) | Options Exercise | $0 | -30,000 | -6.3% | $0.000000 | 444,000 | 15 Dec 2022 | Common Stock | 30,000 | $0.4100 | Direct | F8 |
| transaction | BTAI | Stock Option (Right to Buy) | Options Exercise | $0 | -30,000 | -6.8% | $0.000000 | 414,000 | 16 Dec 2022 | Common Stock | 30,000 | $0.4100 | Direct | F8 |
| Id | Content |
|---|---|
| F1 | The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1. |
| F2 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.13 to $20.12, inclusive. |
| F3 | The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
| F4 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.13 to $20.29, inclusive. |
| F5 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.57 to $19.54, inclusive. |
| F6 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.58 to $20.16, inclusive. |
| F7 | 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. |
| F8 | The option is fully vested and exercisable. |