Statement of Changes in Beneficial Ownership (4)
June 15 2021 - 5:37PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Votruba Michal |
2. Issuer Name and Ticker or Trading Symbol
BioXcel Therapeutics, Inc.
[
BTAI
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O BIOXCEL THERAPEUTICS, INC.,, 555 LONG WHARF DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/11/2021 |
(Street)
PRAGUE, 2N 100 00
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $37.86 | 6/11/2021 | | A (1) | | 14500 | | (2) | 6/11/2031 | Common Stock | 14500 | $0 | 14500 | D | |
Stock Option (Right to Buy) | $37.86 | 6/11/2021 | | J (1) | | | 14500 | (2) | 6/11/2031 | Common Stock | 14500 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The Reporting Person immediately and automatically assigned these stock options to RSJ Investments SICAV a.s. acting in respect of its sub-fund RSJ Gradus podfund ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person does not beneficially own any of the securities reported herein. |
(2) | The option will vest in full and become exercisable on the earlier of the first anniversary of the grant date or the day immediately prior to the date of the next BioXcel Therapeutics, Inc. annual meeting of stockholders, subject to the Reporting Person's continued service through such vesting date. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Votruba Michal C/O BIOXCEL THERAPEUTICS, INC., 555 LONG WHARF DRIVE PRAGUE, 2N 100 00 | X |
|
|
|
Signatures
|
/s/ Richard I. Steinhart, Attorney-in-Fact for Michal Votruba | | 6/15/2021 |
**Signature of Reporting Person | Date |
BioXcel Therapeutics (NASDAQ:BTAI)
Historical Stock Chart
From Aug 2024 to Sep 2024
BioXcel Therapeutics (NASDAQ:BTAI)
Historical Stock Chart
From Sep 2023 to Sep 2024