| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BTAI | Common Stock | Options Exercise | +162 | +4.35% | 3.89K | Mar 14, 2025 | Direct | F1 | ||
| transaction | BTAI | Common Stock | Options Exercise | +217 | +5.58% | 4.1K | Mar 15, 2025 | Direct | F1 | ||
| holding | BTAI | Common Stock | 125 | Mar 14, 2025 | BY SPOUSE | ||||||
| holding | BTAI | Common Stock | 480K | Mar 14, 2025 | BY BIOXCEL LLC | F2 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BTAI | Restricted Stock Units | Options Exercise | $0 | -162 | -12.42% | $0.00 | 1.14K | Mar 14, 2025 | Common Stock | 162 | Direct | F1, F3 | |
| transaction | BTAI | Restricted Stock Units | Options Exercise | $0 | -217 | -8.27% | $0.00 | 2.41K | Mar 15, 2025 | Common Stock | 217 | Direct | F1, F4 |
| Id | Content |
|---|---|
| F1 | Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. |
| F2 | These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC and 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. 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 | On March 14, 2022, the Reporting Person was granted 2,609 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. |
| F4 | On March 15, 2023, the Reporting Person was granted 3,500 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. |