| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BTAI | Common Stock | Gift | $0 | -103K | -1.19% | $0.00 | 8.55M | Apr 6, 2021 | See Footnote | F1 |
| transaction | BTAI | Common Stock | Gift | $0 | -131K | -1.51% | $0.00 | 8.55M | Apr 6, 2021 | See Footnote | F2 |
| transaction | BTAI | Common Stock | Gift | $0 | +131K | +1.55% | $0.00 | 8.55M | Apr 6, 2021 | See Footnote | F3 |
| transaction | BTAI | Common Stock | Gift | $0 | -103K | -1.19% | $0.00 | 8.55M | Apr 6, 2021 | See Footnote | F4 |
| Id | Content |
|---|---|
| F1 | 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. On the transaction date, the Reporting Person gifted shares of Parent representing an approximate 1.3% economic interest in 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. |
| F2 | These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent to his spouse representing an approximate 1.6% economic interest in 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. |
| F3 | These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and indirect stockholder of Parent. On the transaction date, the Reporting Person's Spouse receieved by gift shares of Parent representing a 1.6% economic interest in Parent from the Reporting Person. 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. |
| F4 | These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person's spouse gifted shares of Parent representing an approximate 1.3% economic interest in 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. |
Exhibit List - Exhibit 24 - Section 16 Power of Attorney