common stock, comprised of 9,957 shares of our common stock directly held by Dr. Mehta, 2,000 shares that are owned jointly with Dr. Mehta’s spouse and options to purchase 677,275 shares of our common stock. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. Each of Dr. Nandabalan and Dr. Mehta is a manager and officer of BioXcel LLC, and a director, officer and stockholder of BioXcel Holdings, Inc. As such, each of Dr. Nandabalan and Dr. Mehta may be deemed to beneficially own the shares held of record by BioXcel LLC. The address of BioXcel LLC and BioXcel Holdings, Inc. is 2614 Boston Post Road Suite 33B, Guilford, CT 06437.
(2)
Based on a Schedule 13G filed with the SEC on February 8, 2021, FMR LLC beneficially owns 2,001,988 shares of our common stock, including sole voting power over 714,447 shares and sole dispositive power over 2,001,988 shares. The address for FMR LLC is 245 Summer Street, Boston, Massachusetts 02210.
(3)
Based on a Schedule 13G filed with the SEC on February 11, 2021, State Street Corporation beneficially owns 1,673,996 shares of our common stock. State Street Corporation has shared voting power over 1,631,188 shares and dispositive power over 1,673,996 shares. SSGA Funds Management, Inc. has shared voting power over 1,467,307 shares and shared dispositive power over 1,469,807 shares. State Street Corporation is the parent company of SSGA Funds Management, Inc. The address for State Street Corporation and SSGA Funds Management, Inc. is State Street Financial Center, One Lincoln Street, Boston, MA 02111.
(4)
Includes for Dr. Mehta: (i) 9,020,000 shares of common stock held of record by BioXcel LLC as to which Dr. Mehta may be deemed to have beneficial ownership; (ii) 11,957 shares of common stock (of which 2,000 shares are owned jointly with Dr. Mehta’s spouse); and (iii) options to purchase 677,275 shares of our common stock that can be exercised within 60 days of April 12, 2021.
(5)
Represents for Ms. Bray options to purchase 4,167 shares of our common stock that can be exercised within 60 days of April 12, 2021.
(6)
Represents for Dr. Laumas options to purchase 158,888 shares of our common stock that can be exercised within 60 days of April 12, 2021.
(7)
Includes for Dr. Mueller 90,000 shares of our common stock held by the Peter Mueller 2018 Irrevocable Family Trust, as to which Dr. Mueller serves as trustee, and options to purchase 201,097 shares of our common stock that can be exercised within 60 days of April 12, 2021.
(8)
Includes for Dr. Nandabalan: (i) 9,020,000 shares of common stock held of record by BioXcel LLC as to which Dr. Nandabalan may be deemed to have beneficial ownership; and (ii) options to purchase 479,313 shares of our common stock that can be exercised within 60 days of April 12, 2021.
(9)
Includes 184,375 shares of our common stock held by RSJ Investments SICAV a.s. (“RSJ/Gradus”) and over which Dr. Votruba, an asset manager at RSJ/Gradus, has voting and/or dispositive power. Also includes options to purchase 31,367 shares of our common stock that can be exercised within 60 days of April 12, 2021, which options Dr. Votruba was granted in respect of his service on our Board but as to which he assigned to RSJ/Gradus pursuant to the policies of RSJ/Gradus regarding stock ownership by employees.
(10)
Includes options to purchase 1,825,992 shares of our common stock that can be exercised within 60 days of April 12, 2021.
Delinquent Section 16(a) Reports
Section 16(a) of the Exchange Act requires our executive officers and directors, our principal accounting officer and persons who beneficially own more than 10% of our common stock to file with the SEC reports of their ownership and changes in their ownership of our common stock. To our knowledge, based solely on review of the copies of such reports and amendments to such reports with respect to the year ended December 31, 2020 filed with the SEC and on written representations by our directors and executive officers, all required Section 16 reports under the Exchange Act for our directors, executive officers, principal accounting officer and beneficial owners of greater than 10% of our common stock were filed on a timely basis during the year ended December 31, 2020 or prior fiscal years other than: (1) for Krishnan Nandabalan, one Form 4 reporting two transactions, which was inadvertently filed late, and one Form 4 reporting one transaction, which was inadvertently filed late; (2) for Vimal Mehta, one Form 4 reporting two transactions, which was inadvertently filed late, and one Form 3/A, which corrected inadvertently omitted shares of common stock from the timely filed Form 3 and subsequent Form 4s; (3) for BioXcel Corporation (predecessor in interest to BioXcel LLC), one Form 4 reporting one transaction, which was inadvertently filed late; (4) for BioXcel Holdings, Inc., a late Form 3 and a late Form 4 reporting three transactions and (5) for BioXcel LLC, a late Form 3 and a late Form 4 reporting one transaction.