Основная статистика
| LEI | 549300Y25FYZ0E8LW260 |
| CIK | 1720893 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to BioXcel Therapeutics, Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 27, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| August 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| August 18, 2025 |
Up to $80,000,000 Common Stock As Filed Pursuant to Rule 424(b)(5) Registration No. 333-275261 PROSPECTUS SUPPLEMENT (To Prospectus Supplements dated April 3, 2025 and August 6, 2025 and Prospectus dated November 13, 2023) Up to $80,000,000 Common Stock This Prospectus Supplement supplements the prospectus supplement dated April 3, 2025 (the “Initial ATM Prospectus Supplement”) and the prospectus supplement dated August 6, 2025 |
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| August 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| August 12, 2025 |
Exhibit 99.1 BioXcel Therapeutics Reports Second Quarter 2025 Financial Results and Recent Business Updates Topline data from SERENITY At-Home Phase 3 trial for acute treatment of agitation associated with bipolar disorders or schizophrenia expected in August FDA meeting scheduled in August and is intended to support potential sNDA submission for label expansion of IGALMI® in the at-home setting P |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| August 11, 2025 |
BioXcel Therapeutics to Participate in Canaccord Genuity 45th Annual Growth Conference Exhibit 99.1 BioXcel Therapeutics to Participate in Canaccord Genuity 45th Annual Growth Conference NEW HAVEN, Conn., Aug. 11, 2025 — BioXcel Therapeutics, Inc. (Nasdaq: BTAI), a biopharmaceutical company utilizing artificial intelligence to develop transformative medicines in neuroscience, today announced that Vimal Mehta, Ph.D., CEO of BioXcel Therapeutics, will participate in a fireside chat at |
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| August 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| August 11, 2025 |
Exhibit 99.1 ® BioXcel Therapeutics | 555 Long Wharf Drive, 12th Floor | New Haven, CT 06511 | www.bioxceltherapeutics.com August 2025 BXCL501 Commercial Opportunity in the At-Home Setting for Bipolar Disorders and Schizophrenia NASDAQ: BTAI The potential for BXCL501 in the at-home setting reflects significant unmet need and attractiveness to patients Anticipated Episodic Patient Choice (Future Ma |
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| August 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| August 6, 2025 |
As Filed Pursuant to Rule 424(b)(5) Registration No. 333-275261 PROSPECTUS SUPPLEMENT (To Prospectus Supplement April 3, 2025 and Prospectus dated November 13, 2023) Up to $3,500,000 Common Stock This Prospectus Supplement supplements the prospectus supplement April 3, 2025 (the “ATM Prospectus Supplement”), relating to the offer and sale of shares of our common stock, $0.001 par value per share, |
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| August 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| August 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| July 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 21, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| July 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 15, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| May 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 27, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| May 12, 2025 |
Exhibit 99.1 BioXcel Therapeutics Reports First Quarter 2025 Financial Results and Provides Business Update Enrollment complete in SERENITY At-Home pivotal Phase 3 safety trial for acute treatment of agitation associated with bipolar disorders or schizophrenia Topline data expected in second half of 2025 intended to support potential sNDA submission for label expansion of IGALMI® in the at-home se |
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| May 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| April 4, 2025 |
As filed with the Securities and Exchange Commission on April 4, 2025 As filed with the Securities and Exchange Commission on April 4, 2025 Registration No. |
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| April 4, 2025 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) BioXcel Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1—Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, $0.001 |
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| April 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 3, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| April 3, 2025 |
Equity Distribution Agreement, by and between the Company and Canaccord Genuity LLC Exhibit 1.1 BioXcel Therapeutics, Inc. Common Stock (par value $0.001 per share) EQUITY DISTRIBUTION AGREEMENT April 3, 2025 Canaccord Genuity LLC 1 Post Office Square, Suite 3000 Boston, Massachusetts 02109 Ladies and Gentlemen: BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), confirms this agreement (this “Agreement”) with Canaccord Genuity LLC (the “Manager”) as follows: SECT |
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| April 3, 2025 |
Up to $8,135,000 shares of Common Stock TABLE OF CONTENTS As filed pursuant to rule 424(b)(5) Registration No. 333-275261 PROSPECTUS SUPPLEMENT (To Prospectus Dated November 13, 2023) Up to $8,135,000 shares of Common Stock We have entered into an Equity Distribution Agreement (the “Distribution Agreement”), with Canaccord Genuity LLC, or Canaccord, dated April 3, 2025, relating to the sale of shares of our common stock offered by t |
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| March 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark one) ☒ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2024 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission file number 001-3 |
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| March 28, 2025 |
Exhibit 19.1 BIOXCEL THERAPEUTICS, INC. INSIDER TRADING COMPLIANCE POLICY This Insider Trading Compliance Policy (this “Policy”) consists of seven sections: ● Section I provides an overview; ● Section II sets forth the policies of the Company prohibiting insider trading; ● Section III explains insider trading; ● Section IV consists of procedures that have been put in place by the Company to preven |
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| March 28, 2025 |
Exhibit 10.22.6 Execution Version SIXTH AMENDMENT TO Credit agreement AND guaranty This Sixth Amendment to Credit Agreement and Guaranty (this “Amendment”) is made as of March 4, 2025, by and among BIOXCEL THERAPEUTICS, INC., a Delaware corporation (the “Borrower”), the lenders party hereto (collectively, the “Lenders” and individually, a “Lender”), and OAKTREE FUND ADMINISTRATION, LLC, as adminis |
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| March 28, 2025 |
Form of Amended and Restated Warrant Agreement, dated November 25, 2024 Exhibit 4.5 BIOXCEL THERAPEUTICS, INC. AMENDED AND RESTATED WARRANT TO PURCHASE SHARES OF COMMON STOCK Warrant No. [●] Number of Shares: [●] (subject to adjustment) Date of Issuance: November 25, 2024 BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [●] or it |
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| March 28, 2025 |
Subsidiaries of BioXcel Therapeutics, Inc. Exhibit 21.1 Subsidiaries OnkosXcel Therapeutics, LLC (Delaware) OnkosXcel Employee Holdings, LLC (Delaware) |
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| March 28, 2025 |
Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED UNDER SECTION 12 OF THE EXCHANGE ACT General BioXcel Therapeutics, Inc. has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). References herein to “we,” “us,” “our” and the “Company” refer to BioXcel Therapeutics, Inc. and not to any of its subsidiaries. The |
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| March 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| March 27, 2025 |
Exhibit 99.1 BioXcel Therapeutics Reports Financial Results for the Fourth Quarter and Full Year 2024 Enrollment exceeds 60% of required number of patients in SERENITY At-Home pivotal Phase 3 safety trial evaluating 200 patients for acute treatment of agitation associated with bipolar disorders or schizophrenia Topline data expected in second half of 2025 intended to support potential sNDA submiss |
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| March 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 20, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| March 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| March 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 3, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| March 4, 2025 |
Exhibit 4.2 Final Form BIOXCEL THERAPEUTICS, INC. PRE-FUNDED WARRANT TO PURCHASE SHARES OF COMMON STOCK Warrant No. PFCS-[ ● ] Number of Shares: [ ● ] (subject to adjustment) Date of Issuance: March 4, 2025 BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [ ● |
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| March 4, 2025 |
Exhibit 10.1 Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 3, 2025, between BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the |
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| March 4, 2025 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-275261 PROSPECTUS SUPPLEMENT (To Prospectus dated November 13, 2023) 188,383 Shares of Common Stock Pre-Funded Warrants to Purchase up to 3,811,617 Shares of Common Stock Warrants to Purchase up to 4,000,000 Shares of Common Stock Warrants to Purchase 4,000,000 Shares of Common Stock (or Pre-Funded Warrants) and Warrants to |
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| March 4, 2025 |
Exhibit 4.3 Final Form BIOXCEL THERAPEUTICS, INC. WARRANT TO PURCHASE SHARES OF COMMON STOCK (OR PRE-FUNDED WARRANTS TO PURCHASE SHARES OF COMMON STOCK) AND OPTION WARRANTS TO PURCHASE SHARES OF COMMON STOCK Warrant No. UN-1 Number of Shares (or Pre-Funded Warrant Shares in lieu thereof): [ ● ] Number of Option Warrant Shares: [ ● ] Date of Issuance: March 4, 2025 BioXcel Therapeutics, Inc., a Del |
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| March 4, 2025 |
Exhibit 4.1 Final Form BIOXCEL THERAPEUTICS, INC. WARRANT TO PURCHASE SHARES OF COMMON STOCK Warrant No. CS-[ ● ] Number of Shares: [ ● ] (subject to adjustment) Date of Issuance: March 4, 2025 BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [ ● ] or its reg |
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| March 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| February 6, 2025 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED OF BIOXCEL THERAPEUTICS, INC. BIOXCEL THERAPEUTICS, INC. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “DGCL”), does hereby certify that: FIRST: The name of the Corporation is BioXcel Therapeutics, Inc |
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| February 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 6, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| January 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 28, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| January 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 15, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| January 15, 2025 |
BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 January 15, 2025 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, NE Washington, D.C. 20549 Attention: Alan Campbell Re: BioXcel Therapeutics, Inc. Registration Statement on Form S-3 Filed January 10, 2025 File No. 333-284224 Acceleration Request Ladies and Gentlemen: Pursua |
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| January 10, 2025 |
Exhibit 107 CALCULATION OF FILING FEE TABLE Registration Statement Form S-3 (Form Type) BioXcel Therapeutics, Inc. |
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| January 10, 2025 |
Form of Amended and Restated Fourth Amendment Warrant. Exhibit 4.3 Execution Version BIOXCEL THERAPEUTICS, INC. AMENDED AND RESTATED COMMON STOCK WARRANT NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE OR CONVERSION HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAW AND MAY NOT BE TRANSFERRED EXCEPT (I) IN ACCORDANCE WITH THE SECURITIES ACT OR SUCH APPLICA |
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| January 10, 2025 |
As filed with the Securities and Exchange Commission on January 10, 2025 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on January 10, 2025 Registration No. |
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| January 8, 2025 |
Exhibit 10.1 BioXcel Therapeutics, Inc. AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT This Amendment to Executive Employment Agreement (this “Amendment”) is made and entered into by and between Vimal Mehta, Ph.D. (“Executive”) and BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), as of January 7, 2025 (the “Effective Date”). Capitalized terms used but not defined herein shall have |
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| January 8, 2025 |
Exhibit 10.2 BioXcel Therapeutics, Inc. AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT This Amendment to Executive Employment Agreement (this “Amendment”) is made and entered into by and between Richard Steinhart (“Executive”) and BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), as of January 7, 2025 (the “Effective Date”). Capitalized terms used but not defined herein shall have t |
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| January 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 7, 2025 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| January 8, 2025 |
Exhibit 10.3 BioXcel Therapeutics, Inc. AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT This Amendment to Executive Employment Agreement (this “Amendment”) is made and entered into by and between Frank Yocca, Ph.D. (“Executive”) and BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), as of January 7, 2025 (the “Effective Date”). Capitalized terms used but not defined herein shall have |
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| December 30, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| December 18, 2024 |
CUSIP NO. 09075P105 SC 13G EXHIBIT 99.1 The Schedule 13G to which this attachment is appended is filed by Qatar Investment Authority on behalf of itself and the following wholly-owned subsidiary: Q Boost Holding LLC |
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| December 18, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| December 18, 2024 |
CUSIP NO. 09075P105 SC 13G EXHIBIT 99.2 Certificate of Incumbency **I, Ahmad Mohammed F Q Al-Khanji, Chief of Legal and General Counsel, of Qatar Investment Authority, established by Emiri Decision No 22 in 2005, with its registered office at, Ooredoo Tower (Building 14), Al Dafna Street (Street 801), Al Dafna (Zone 61), Doha, State of Qatar, do hereby confirm that Andrew Watkins is the duly appoi |
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| November 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| November 25, 2024 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-275261 PROSPECTUS SUPPLEMENT (To Prospectus dated November 13, 2023) 5,600,000 Shares of Common Stock, Pre-Funded Warrants to Purchase 9,000,000 Shares of Common Stock, and Warrants to Purchase 14,600,000 Shares of Common Stock We are offering (i) 5,600,000 shares of our common stock and accompanying warrants to purchase 5,6 |
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| November 25, 2024 |
Exhibit 4.2 BIOXCEL THERAPEUTICS, INC. FORM OF WARRANT TO PURCHASE SHARES OF COMMON STOCK Warrant No. Number of Shares: (subject to adjustment) Date of Issuance: November 21, 2024 BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, or its register |
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| November 25, 2024 |
Underwriting Agreement, dated November 22, 2024, between the Company and Canaccord Genuity LLC Exhibit 1.1 5,600,000 Shares of Common Stock Pre-Funded Warrants to Purchase 9,000,000 Shares of Common Stock Common Stock Warrants to Purchase 14,600,000 Shares of Common Stock BIOXCEL THERAPEUTICS, INC. UNDERWRITING AGREEMENT November 22, 2024 Canaccord Genuity LLC As Representative of the several Underwriters named in Schedule I attached hereto, c/o Canaccord Genuity LLC 1 Pos |
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| November 25, 2024 |
Exhibit 4.1 BIOXCEL THERAPEUTICS, INC. FORM OF PRE-FUNDED WARRANT TO PURCHASE SHARES OF COMMON STOCK Warrant No. Number of Shares: (subject to adjustment) Date of Issuance: November 21, 2024 BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, or i |
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| November 21, 2024 |
Form of Fifth Amendment Warrant, dated November 21, 2024 Exhibit 4.1 BIOXCEL THERAPEUTICS, INC. COMMON STOCK WARRANT NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE OR CONVERSION HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAW AND MAY NOT BE TRANSFERRED EXCEPT (I) IN ACCORDANCE WITH THE SECURITIES ACT OR SUCH APPLICABLE STATE SECURITIES LAWS, PURSUANT TO |
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| November 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 21, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| November 21, 2024 |
Fifth Amendment to Credit Agreement and Guaranty dated November 21, 2024. Exhibit 10.1 FIFTH AMENDMENT TO Credit agreement AND guaranty AND FIRST AMENDMENT TO FOURTH AMENDMENT TO CREDIT AGREEMENT AND GUARANTY This Fifth Amendment to Credit Agreement and Guaranty and First Amendment to Fourth Amendment to Credit Agreement and Guaranty (this “Amendment”) is made as of November 21, 2024 (the “Fifth Amendment Date”), by and among BIOXCEL THERAPEUTICS, INC., a Delaware corpo |
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| November 21, 2024 |
SUBJECT TO COMPLETION, DATED NOVEMBER 21, 2024 TABLE OF CONTENTS The information in this preliminary prospectus supplement and the accompanying base prospectus, relating to an effective registration statement under the Securities Act of 1933, as amended, is not complete and may be changed. |
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| November 21, 2024 |
Exhibit 4.2 BIOXCEL THERAPEUTICS, INC. THIRD Amended and Restated REGISTRATION RIGHTS AGREEMENT This THIRD Amended and Restated Registration Rights Agreement (this “Agreement”) is made as of [●], 2024, by and among BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), the purchasers identified on Schedule A hereto (each, a “Purchaser”) and such other Persons, if any, from ti |
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| November 14, 2024 |
Addendum to Employment Agreement – Vince O’Neill Exhibit 10.5 ADDENDUM TO EXECUTIVE EMPLOYMENT AGREEMENT This Addendum to Executive Employment Agreement (“Addendum”) supplements the attached Executive Employment Agreement, dated June 1, 2018 (“Employment Agreement,” as updated by this Addendum, the “Agreement”), by and between the Company and the Executive (both as defined in the Employment Agreement, and collectively referred to as the “Parties |
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| November 14, 2024 |
Addendum to Employment Agreement – Vimal Mehta Exhibit 10.4 ADDENDUM TO EXECUTIVE EMPLOYMENT AGREEMENT This Addendum to Executive Employment Agreement (“Addendum”) supplements the attached Executive Employment Agreement, dated March 7, 2018 (“Employment Agreement,” as updated by this Addendum, the “Agreement”), by and between the Company and the Executive (both as defined in the Employment Agreement, and collectively referred to as the “Partie |
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| November 14, 2024 |
Addendum to Employment Agreement – Richard Steinhart Exhibit 10.7 ADDENDUM TO EXECUTIVE EMPLOYMENT AGREEMENT This Addendum to Executive Employment Agreement (“Addendum”) supplements the attached Executive Employment Agreement, dated October 2, 2017 (“Employment Agreement,” as updated by this Addendum, the “Agreement”), by and between the Company and the Executive (both as defined in the Employment Agreement, and collectively referred to as the “Part |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 14, 2024 |
Exhibit 99.1 BioXcel Therapeutics Reports Third Quarter 2024 Financial Results Advancing two pivotal Phase 3 trials of BXCL501 for acute treatment of agitation associated with bipolar disorders, schizophrenia, and Alzheimer’s dementia Conference call set for 8:00 a.m. ET today NEW HAVEN, Conn., Nov. 14, 2024 — BioXcel Therapeutics, Inc. (Nasdaq: BTAI), a biopharmaceutical company utilizing artific |
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| November 14, 2024 |
Addendum to Employment Agreement – Frank Yocca Exhibit 10.6 ADDENDUM TO EXECUTIVE EMPLOYMENT AGREEMENT This Addendum to Executive Employment Agreement (“Addendum”) supplements the attached Executive Employment Agreement, dated February 12, 2018 (“Employment Agreement,” as updated by this Addendum, the “Agreement”), by and between the Company and the Executive (both as defined in the Employment Agreement, and collectively referred to as the “Pa |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| October 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 3, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| October 9, 2024 |
Consulting Agreement between BioXcel Therapeutics, Inc. and Matthew Wiley, dated October 8, 2024 Exhibit 10.2 CONSULTING AGREEMENT This Consulting Agreement (the “Agreement”) is made and entered into as of October 3, 2024, (the “Effective Date”), by and between BioXcel Therapeutics, Inc., a Delaware corporation, with offices located at 555 Long Wharf Drive, 12th Floor, New Haven, CT 06511 (“BioXcel”) and Commercial Science, LLC a limited liability company, having an address at [***], (the “Co |
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| October 9, 2024 |
Separation Agreement between BioXcel Therapeutics, Inc. and Matthew Wiley, dated October 3, 2024 Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE For good and valuable consideration, BioXcel Therapeutics, Inc. (the “Company”) and Matthew Wiley (“Employee”) enter into this Separation Agreement and General Release (this “Agreement”), to take effect on the Effective Date (as defined below in Section 8). 1. Separation of Employment; Acknowledgements. (a) Employee’s emp |
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| September 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 16, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| September 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 17, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| September 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 5, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| September 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 5, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| August 6, 2024 |
Exhibit 99.1 BioXcel Therapeutics Reports Second Quarter 2024 Financial Results Planning initiation of SERENITY At-Home pivotal Phase 3 trial of BXCL501 for acute treatment of agitation associated with bipolar disorders or schizophrenia Advancing plans for TRANQUILITY In-Care pivotal Phase 3 trial with BXCL501 for agitation associated with Alzheimer’s dementia Reported positive topline results fro |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| August 6, 2024 |
Exhibit 10.1 Certain information marked as [***] has been excluded from this exhibit because it is both (i) not material and (ii) of the type that the registrant customarily and actually treats as confidential. Amendment No. 1 to Commercial Supply Agreement This Amendment No. 1 to the Commercial Supply Agreement, dated as of July 11, 2024 (the “Amendment”), by and between BioXcel Therapeutics, Inc |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| July 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| July 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 16, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| July 16, 2024 |
Exhibit 99.1 BioXcel Therapeutics Announces Preliminary Estimated Unaudited Second Quarter Net Revenues from Sales of IGALMI™ (dexmedetomidine) Sublingual Film Focused market-access strategy generates estimated net revenue of approximately $1.1 million, highest quarterly net revenue since commercial launch Represents 90% increase from the prior quarter and 141% increase from the second quarter of |
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| June 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| June 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 10, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| June 12, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED OF BIOXCEL THERAPEUTICS, INC. Pursuant to Section 242 of the General Corporation Law of the State of Delaware BioXcel Therapeutics, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify that: |
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| June 6, 2024 |
BTAI / BioXcel Therapeutics, Inc. / Bioxcel Corp - SC 13D/A Activist Investment SC 13D/A 1 tm2416681d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* BioXcel Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 09075P105 (CUSIP Number) Vimal Mehta 555 Long Wharf Drive New Haven, CT 06511 (475) 238-6837 (Name, Address and Telephone Nu |
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| June 4, 2024 |
BIOXCEL THERAPEUTICS, INC. THE DATE OF THIS PROSPECTUS SUPPLEMENT IS JUNE 4, 2024 FILED PURSUANT TO RULE 424(b)(7) FILE NO. 333-240118 PROSPECTUS SUPPLEMENT (To Prospectus dated April 7, 2022) BIOXCEL THERAPEUTICS, INC. THE DATE OF THIS PROSPECTUS SUPPLEMENT IS JUNE 4, 2024 This Prospectus Supplement (this “Prospectus Supplement”) updates, amends and supplements the prospectus of BioXcel Therapeutics, Inc. (the “Company”), dated April 7, 2022 (as amended and supplemented, the |
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| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| May 9, 2024 |
Exhibit 99.1 BioXcel Therapeutics Reports First Quarter 2024 Financial Results Advancing TRANQUILITY and SERENITY program plans for two pivotal Phase 3 trials to expand BXCL501 market potential in acute treatment of agitation Strengthened intellectual property portfolio for BXCL501 with grant of two new patents, in Japan and the U.S. Completed $25 million registered direct offering Conference call |
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| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| April 29, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Prox |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ⌧ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
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| April 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| April 22, 2024 |
Exhibit 99.1 ® BioXcel Therapeutics | 555 Long Wharf Drive, 12th Floor | New Haven, CT 06511 | bioxceltherapeutics.com NASDAQ: BTAI April 2024 AI - Driven Transformative Medicines in Neuroscience This presentation includes “forward - looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995 . BioXcel Therapeutics, Inc . (“BioXcel” or the “Company”) intends such |
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| April 19, 2024 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Prox |
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| April 10, 2024 |
Exhibit 99.1 ® Acute Treatment of Agitation Associated with Alzheimer’s Dementia (AAD) ® 1 ® TRANQUILITY Program April 10, 2024 This presentation includes “forward - looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995 . BioXcel Therapeutics, Inc . (“BioXcel” or the “Company”) intends such forward - looking statements to be covered by the safe harbor provi |
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| April 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| April 3, 2024 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) BioXcel Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1—Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, $0.001 |
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| April 3, 2024 |
As filed with the Securities and Exchange Commission on April 3, 2024 As filed with the Securities and Exchange Commission on April 3, 2024 Registration No. |
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| March 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| March 25, 2024 |
TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No. 333-275261 PROSPECTUS SUPPLEMENT (To Prospectus dated November 13, 2023) 3,054,609 Shares of Common Stock, Pre-Funded Warrants to Purchase 5,565,027 Shares of Common Stock, and Warrants to Purchase 8,619,636 Shares of Common Stock We are offering 8,619,636 shares of our common stock, or, in lieu thereof, pre-funded warrants to p |
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| March 25, 2024 |
Securities Purchase Agreement, dated March 25, 2024, between the Company and the Purchasers Exhibit 10.1 Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 25, 2024, between BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the |
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| March 25, 2024 |
Exhibit 4.1 Final Form BIOXCEL THERAPEUTICS, INC. PRE-FUNDED WARRANT TO PURCHASE SHARES OF COMMON STOCK Warrant No. PFCS-[ ● ] Number of Shares: [ ● ] (subject to adjustment) Date of Issuance: [ ● ], 2024 BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [ ● ] |
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| March 25, 2024 |
Exhibit 4.2 Final Form BIOXCEL THERAPEUTICS, INC. WARRANT TO PURCHASE SHARES OF COMMON STOCK Warrant No. CS-[ ● ] Number of Shares: [ ● ] (subject to adjustment) Date of Issuance: [ ● ], 2024 BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [ ● ] or its regis |
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| March 22, 2024 |
Policy for Recovery of Erroneously Awarded Compensation Exhibit 97.1 BIOXCEL THERAPEUTICS, INC. POLICY FOR RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION BioXcel Therapeutics, Inc. (the “Company”) has adopted this Policy for Recovery of Erroneously Awarded Compensation (the “Policy”), effective as of October 2, 2023 (the “Effective Date”). Capitalized terms used in this Policy but not otherwise defined herein are defined in Section 11. 1. Persons Subject |
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| March 22, 2024 |
Exhibit 10.22.4 Execution Version FOURTH AMENDMENT TO CREDIT AGREEMENT AND GUARANTY This Fourth Amendment to Credit Agreement and Guaranty (this “Amendment”) is made as of March 20, 2024, by and among BIOXCEL THERAPEUTICS, INC., a Delaware corporation (the “Borrower”), the lenders party hereto (collectively, the “Lenders” and individually, a “Lender”), and OAKTREE FUND ADMINISTRATION, LLC, as admi |
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| March 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark one) ☒ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the year ended December 31, 2023 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission file number 001-38410 Bi |
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| March 22, 2024 |
Form of Warrant Agreement, dated March 20, 2024 Exhibit 4.5 [FORM OF] BIOXCEL THERAPEUTICS, INC. COMMON STOCK WARRANT NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE OR CONVERSION HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAW AND MAY NOT BE TRANSFERRED EXCEPT (I) IN ACCORDANCE WITH THE SECURITIES ACT OR SUCH APPLICABLE STATE SECURITIES LAWS, PU |
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| March 22, 2024 |
Subsidiaries of BioXcel Therapeutics, Inc. Exhibit 21.1 Subsidiaries OnkosXcel Therapeutics, LLC (Delaware) OnkosXcel Employee Holdings, LLC (Delaware) |
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| March 22, 2024 |
Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED UNDER SECTION 12 OF THE EXCHANGE ACT General BioXcel Therapeutics, Inc. has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). References herein to “we,” “us,” “our” and the “Company” refer to BioXcel Therapeutics, Inc. and not to any of its subsidiaries. The |
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| March 22, 2024 |
Exhibit 4.6 Execution Version BIOXCEL THERAPEUTICS, INC. SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT This SECOND AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made as of March 20, 2024, by and among BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), the purchasers identified on Schedule A hereto (each, a “Purchaser”) and such other Persons, |
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| March 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 12, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| March 12, 2024 |
Exhibit 99.1 BioXcel Therapeutics Reports Financial Results for the Fourth Quarter and Full Year 2023 Provides update on two late-stage clinical programs for BXCL501 for potential treatment of agitation Recently completed meetings with U.S. Food and Drug Administration for TRANQUILITY and SERENITY programs Conference call and webcast set for 8:00 a.m. ET today NEW HAVEN, Conn., March 12, 2024 — Bi |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 14, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| February 14, 2024 |
Exhibit 99.1 ® BioXcel Therapeutics | 555 Long Wharf Drive, 12th Floor | New Haven, CT 06511 | bioxceltherapeutics.com NASDAQ: BTAI February 2024 AI - Driven Transformative Medicines in Neuroscience This presentation includes "forward - looking statements" within the meaning of the Private Securities Litigation Reform Act of 19 95. Forward - looking statements in this presentation include but are |
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| February 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 12, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| February 12, 2024 |
Exhibit 10.1 THIRD AMENDMENT TO Credit agreement AND guaranty EXECUTION VERSION This Third Amendment to Credit Agreement and Guaranty (this “Amendment”) is made as of February 12, 2024, by and among BIOXCEL THERAPEUTICS, INC., a Delaware corporation (the “Borrower”), the lenders party hereto (collectively, the “Lenders” and individually, a “Lender”), and OAKTREE FUND ADMINISTRATION, LLC, as admini |
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| February 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 7, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| February 8, 2024 |
SUBJECT TO COMPLETION, DATED FEBRUARY 8, 2024 TABLE OF CONTENTS The information in this preliminary prospectus supplement and the accompanying base prospectus, relating to an effective registration statement under the Securities Act of 1933, as amended, is not complete and may be changed. |
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| February 8, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2024 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| February 8, 2024 |
Exhibit 10.1 EXECUTION VERSION SECOND AMENDMENT TO CREDIT AGREEMENT AND GUARANTY AND TERMINATION OF REVENUE INTEREST FINANCING AGREEMENT This Second Amendment to Credit Agreement and Guaranty and Termination of Revenue Interest Financing Agreement (this “Amendment”) is made as of December 5, 2023, by and among BIOXCEL THERAPEUTICS, INC., a Delaware corporation, as borrower (the “Borrower”), the Gu |
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| February 7, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* BioXcel Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 09075P105 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pur |
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| January 19, 2024 |
BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 January 19, 2024 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Attention: Cindy Polynice Re: BioXcel Therapeutics, Inc. Registration Statement on Form S-3 Filed January 12, 2024 File No. 333-276488 To the addressee set forth above: Pursu |
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| January 12, 2024 |
As filed with the Securities and Exchange Commission on January 12, 2024 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on January 12, 2024 Registration No. |
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| January 12, 2024 |
Exhibit 107 CALCULATION OF FILING FEE TABLE Registration Statement Form S-3 (Form Type) BioXcel Therapeutics, Inc. |
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| December 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 18, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| December 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 12, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| December 6, 2023 |
Form of Amended and Restated Warrant Agreement, dated December 5, 2023 Exhibit 4.1 BIOXCEL THERAPEUTICS, INC. Amended and Restated COMMON STOCK WARRANT NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE OR CONVERSION HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAW AND MAY NOT BE TRANSFERRED EXCEPT (I) IN ACCORDANCE WITH THE SECURITIES ACT OR SUCH APPLICABLE STATE SECURITI |
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| December 6, 2023 |
Exhibit 4.3 EXECUTION VERSION BIOXCEL THERAPEUTICS, INC. Amended and Restated REGISTRATION RIGHTS AGREEMENT This Amended and Restated Registration Rights Agreement (this “Agreement”) is made as of December 5, 2023, by and among BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), the purchasers identified on Schedule A hereto (each, a “Purchaser”) and such other Persons, if any, fro |
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| December 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 5, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| December 6, 2023 |
Form of Warrant Agreement, dated December 5, 2023 Exhibit 4.2 BIOXCEL THERAPEUTICS, INC. COMMON STOCK WARRANT NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE OR CONVERSION HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAW AND MAY NOT BE TRANSFERRED EXCEPT (I) IN ACCORDANCE WITH THE SECURITIES ACT OR SUCH APPLICABLE STATE SECURITIES LAWS, PURSUANT TO |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| November 14, 2023 |
Exhibit 10.2 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item (601)(b)(10)(iv). Such excluded information is both (i) not material and (ii) the type that the Registrant treats as private or confidential. WAIVER AND FIRST AMENDMENT TO credit agreement and guaranty This Waiver and First Amendment to Credit Agreement and Guaranty (this “Amendment”) is made |
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| November 14, 2023 |
Up to $150,000,000 shares of Common Stock TABLE OF CONTENTS As filed pursuant to rule 424(b)(5) Registration No. 333-275261 PROSPECTUS SUPPLEMENT (To Prospectus Dated November 13, 2023) Up to $150,000,000 shares of Common Stock We have entered into an Open Market Sale Agreement™, or sales agreement, with Jefferies LLC, or Jefferies, dated May 10, 2021, as amended on November 1, 2023, relating to the sale of shares of our common stock of |
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| November 14, 2023 |
Exhibit 99.1 BioXcel Therapeutics Aligns with FDA Recommendation for Phase 3 Trial for TRANQUILITY Program, Provides Update on Strategic Financing, and Reports Third Quarter 2023 Financial Results Company plans to conduct Phase 3 trial of BXCL501 in the at-home setting for TRANQUILITY program to support potential sNDA for acute treatment of agitation associated with dementia due to probable Alzhei |
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| November 13, 2023 |
BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 November 13, 2023 VIA EDGAR TRANSMISSION Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Attention: Joshua Gorsky Re: BioXcel Therapeutics, Inc. Registration Statement on Form S-3 File No. 333-275261 To the addressee set forth above: Pursuant to Rul |
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| November 13, 2023 |
BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 November 13, 2023 VIA EDGAR TRANSMISSION Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Attention: Joshua Gorsky Re: BioXcel Therapeutics, Inc. Registration Statement on Form S-3 File No. 333-275261 To the addressee set forth above: BioXcel Ther |
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| November 13, 2023 |
BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 November 13, 2023 VIA EDGAR TRANSMISSION Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Attention: Joshua Gorsky Re: BioXcel Therapeutics, Inc. Registration Statement on Form S-3 File No. 333-275261 To the addressee set forth above: BioXcel Ther |
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| November 9, 2023 |
BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, CT 06511 November 9, 2023 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Attention: Joshua Gorsky Re: BioXcel Therapeutics, Inc. Registration Statement on Form S-3 Filed November 2, 2023 File No. 333-275261 To the addressees set forth above: Pursu |
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| November 2, 2023 |
Exhibit 1.2 OPEN MARKET SALE AGREEMENTSM May 10, 2021 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time through Jefferies LLC, as sales agent and/or principal (the “Agent”), shares of the Company’s common |
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| November 2, 2023 |
Exhibit 4.3 BIOXCEL THERAPEUTICS, INC. INDENTURE Dated as of , 20 [ ] Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1. Definitions 1 Section 1.2. Other Definitions 4 Section 1.3. Incorporation by Reference of Trust Indenture Act 4 Section 1.4. Rules of Construction 4 ARTICLE II. THE SECURITIES 5 Section 2.1. Issuable in Seri |
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| November 2, 2023 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Table 1 – Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees To Be Paid Equity Common Stock, $0. |
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| November 2, 2023 |
As filed with the Securities and Exchange Commission on November 1, 2023 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on November 1, 2023 Registration No. |
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| October 19, 2023 |
BTAI / BioXcel Therapeutics Inc / BioXcel Holdings, Inc. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 6)* BioXcel Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 09075P105 (CUSIP Number) September 19, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| October 10, 2023 |
Exhibit 99.1 BioXcel Therapeutics Reports Positive Overall Survival Results from Single-Arm, Open-Label Phase 2 Trial of BXCL701 in Patients with Small Cell Neuroendocrine Prostate Cancer Median overall survival of 13.6 months with BXCL701 + KEYTRUDA® (pembrolizumab), compared to 7.6 months with checkpoint inhibitor monotherapy (CPI) in late-line refractory patients in separate, Phase 2 trial1 56% |
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| October 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 10, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| October 10, 2023 |
Exhibit 99.2 Astria Therapeutics October 2023 1 Exhibit 99.2 Cautionary Note Regarding Forward Looking Statements and Disclaimer This presentation and various remarks we make during this presentation contain forward - looking statements within the meaning of applicable securities laws and regulations including, but not limited to, statements regarding: expectations regarding the po ten tial signif |
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| October 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 4, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| September 28, 2023 |
10b5-1 Trading Plan for Vimal Mehta entered into August 31, 2022. EX-4 5 tm2327016d1ex4.htm EXHIBIT 4 Exhibit 4 Issuer Name: BioXcel Therapeutics, Inc. Client Name: Vimal Mehta Symbol: BTAI Rule 10b5-1 Sales Plan, Client Representations, and Sales Instructions I, Vimal Mehta, as of the date below, establish this Sales Plan (“Plan”) in order to sell shares of the common stock (“Shares”) of BioXcel Therapeutics, Inc. (“Issuer”) pursuant to the requirements of Rule |
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| September 28, 2023 |
Exhibit 3 Execution Version REPURCHASE AGREEMENT This Repurchase Agreement (this “Agreement”) is made as of September 19, 2023, by and between BioXcel LLC, a Delaware limited liability company resulting from the conversion of BioXcel Corporation with its principal office at 2614 Boston Post Road, Suite 33B, Guilford, CT 06437 (the “Company”), Vipin Agarwal, an individual residing at 80 West Meadow Road, Hamden, CT 06518 (“Vipin”), and RASHMI Agarwal, an individual residing at 80 West Meadow Road, Hamden, CT 06518 (“Rashmi” and, collectively with Vipin, “Sellers”), and InveniAI LLC, a Delaware limited liability company (“InveniAI”) (only as to Sections 2(a)(iii), 2(b)(i), 3(c) and 5). |
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| September 28, 2023 |
Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13D. |
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| September 28, 2023 |
BTAI / BioXcel Therapeutics Inc / Bioxcel Corp - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* BioXcel Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 09075P105 (CUSIP Number) Vimal Mehta 555 Long Wharf Drive New Haven, CT 06511 4752386837 (Name, Address and Telephone Number of Person Authorized to Receive Notices an |
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| September 28, 2023 |
EX-2 3 tm2327016d1ex2.htm EXHIBIT 2 Exhibit 2 Execution Version BIOXCEL HOLDINGS, INC. TERMINATION AGREEMENT This TERMINATION AGREEMENT (this “Agreement”) is made as of September 19, 2023 (the “Effective Date”), by and among BioXcel Holdings, Inc., a Delaware corporation (the “Company”), InveniAI LLC, a Delaware limited liability company (“InveniAI”) (only as to Sections 4(d), 7(d), and 17(b)), Kr |
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| September 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 19, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| September 25, 2023 |
Exhibit 10.1 Execution Version [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item (601)(b)(10)(iv). Such excluded information is both (i) not material and (ii) the type that the Registrant treats as private or confidential. NON-COMPETE AGREEMENT THIS NON-COMPETE AGREEMENT (the “Agreement”) is made and entered into as of September 19, 2023 (the “Effective |
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| September 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 19, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| September 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 12, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| September 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 7, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| August 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 22, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| August 14, 2023 |
Exhibit 99.1 BioXcel Therapeutics Reports Second Quarter 2023 Financial Results and Announces Strategic Reprioritization Business to prioritize high-potential agitation market opportunities for BXCL501 in bipolar disorders, schizophrenia, and Alzheimer’s disease Commercial reprioritization intended to reduce related expenses by 80% with focus on market access through contracting with large hospita |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 26, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| June 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 29, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| May 17, 2023 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Prox |
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| May 9, 2023 |
Exhibit 10.1 EXECUTION VERSION FIRST AMENDMENT TO REVENUE INTEREST FINANCING AGREEMENT This First Amendment to Revenue Interest Financing Agreement (this “Amendment”) is made as of August 4, 2022, by and among BIOXCEL THERAPEUTICS, INC., a Delaware corporation (the “Company”), the purchasers party hereto (collectively, the “Purchasers” and individually, a “Purchaser”) and OAKTREE FUND ADMINISTRATI |
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| May 9, 2023 |
Exhibit 10.3 ONKOSXCEL THERAPEUTICS, LLC AND ONKOSXCEL EMPLOYEE HOLDINGS, LLC MANAGEMENT Incentive Plan RESTRICTED STOCK UNIT AWARD AGREEMENT GRANT NOTICE Unless otherwise defined herein, the terms defined in the OnkosXcel Therapeutics, LLC and OnkosXcel Employee Holdings, LLC Management Incentive Plan (the “Plan”) shall have the same defined meanings in this Restricted Stock Unit Award Agreement, |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 9, 2023 |
Exhibit 10.2 AMENDED & RESTATED EXECUTIVE EMPLOYMENT AGREEMENT This Amended & Restated Executive Agreement (the “Agreement”) is made and entered into effective as of July 1, 2022 (the “Effective Date”), by and between Vincent O’Neill, M.D. (the “Executive”) and BioXcel Therapeutics, Inc., a Delaware corporation (the “Company”). RECITALS WHEREAS, Executive serves as the Company’s Senior Vice Presid |
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| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| May 8, 2023 |
Exhibit 99.1 BioXcel Therapeutics Reports First Quarter 2023 Financial Results and Recent Operational Highlights IGALMI™ (dexmedetomidine) commercial momentum accelerating with doubling of formulary wins, unlocking more than $55 million in targeted market opportunity, and an additional $255 million scheduled to vote Top-line data from pivotal SERENITY III Phase 3 trial (Part 1) for BXCL501 in bipo |
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| May 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark one) x Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the year ended December 31, 2022 or ¨ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission file number 001-38410 |
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| April 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 20, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| April 4, 2023 |
BTAI / BioXcel Therapeutics Inc / BioXcel Holdings, Inc. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* BioXcel Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 09075P105 (CUSIP Number) April 3, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| April 4, 2023 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) EXHIBIT 99.1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) Each of the undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. Each of the |
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| April 4, 2023 |
BIOXCEL HOLDINGS, INC. STOCKHOLDERS AGREEMENT Exhibit 99.2 BIOXCEL HOLDINGS, INC. STOCKHOLDERS AGREEMENT This STOCKHOLDERS AGREEMENT (this “Agreement”) is made as of April 3, 2023, by and among, BIOXCEL HOLDINGS, INC., a corporation organized under the laws of the State of Delaware (the “Corporation”), DR. KRISHNAN NANDABALAN (and together with the persons identified on Schedule A hereto as an Affiliated Principal Stockholder, collectively, t |
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| March 17, 2023 |
As filed with the Securities and Exchange Commission on March 17, 2023 As filed with the Securities and Exchange Commission on March 17, 2023 Registration No. |
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| March 17, 2023 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) BioXcel Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1—Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, $0.001 |
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| March 16, 2023 |
Subsidiaries of BioXcel Therapeutics, Inc. Exhibit 21.1 Subsidiaries OnkosXcel Therapeutics, LLC OnkosXcel Employee Holdings, LLC |
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| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark one) ☒ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the year ended December 31, 2022 or ☐ Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to . Commission file number 001-38410 Bi |
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| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 16, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| March 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 15, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 10, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| March 9, 2023 |
Exhibit 99.1 BioXcel Therapeutics Reports Fourth Quarter and Full Year 2022 Financial Results and Recent Operational Highlights IGALMI™ (dexmedetomidine) commercial execution fully underway in 2023 with key focus on market access and demand generation through expanded field team Multiple pivotal data readouts for BXCL501 expected in Q2 2023 in disease areas with 139 million agitation episodes,1-3* |
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| March 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 9, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| February 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 21, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| February 21, 2023 |
Exhibit 99.1 BioXcel Therapeutics | 555 Long Wharf Drive, 12th Floor | New Haven, CT 06511 | www.bioxceltherapeutics.com ® BXCL701 Key Opinion Leader Day February 21, 2023 NASDAQ: BTAI This presentation includes "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995. We intend such forward-looking statements to be covered by the safe harbor provisio |
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| February 14, 2023 |
BTAI / BioXcel Therapeutics Inc / ALLIANCEBERNSTEIN L.P. - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Bioxcel Therapeutics Inc (Name of Issuer) Common Stock (Title of Class of Securities) 09075P105 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th |
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| February 14, 2023 |
BTAI / BioXcel Therapeutics Inc / BioXcel Holdings, Inc. - SC 13G/A Passive Investment SC 13G/A 1 tm236702d1sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* BioXcel Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 09075P105 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement |
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| February 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 13, 2023 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| February 2, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* BioXcel Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 09075P105 (CUSIP Number) January 23, 2023 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuan |
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| November 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 30, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 10, 2022 |
Exhibit 99.1 BioXcel Therapeutics Reports Third Quarter 2022 Financial Results and Recent Operational Highlights IGALMI™ (dexmedetomidine) well-positioned for growth in 2023 based on increasing market access, efficient targeting, favorable market drivers, and sales force expansion in all major U.S. geographies Top-line pivotal data for TRANQUILITY II trial investigating BXCL501 for Alzheimer’s-rel |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 10, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commis |
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| September 12, 2022 |
Exhibit 99.1 ? BioXcel Therapeutics | 555 Long Wharf Drive, 12th Floor | New Haven, CT 06511 | www.bioxceltherapeutics.com September 2022 AI-Driven Drug Development in Neuroscience and Immuno-oncology NASDAQ: BTAI This presentation includes "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995.Forward-looking statements in this presentation include |
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| September 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 12, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commi |
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| August 19, 2022 |
OnkosXcel Therapeutics, LLC and OnkosXcel Employee Holdings, LLC Management Incentive Plan Exhibit 10.1 ONKOSXCEL THERAPEUTICS, LLC AND ONKOSXCEL EMPLOYEE HOLDINGS, LLC MANAGEMENT INCENTIVE PLAN 1.?????????????Purpose. The purpose of the Plan is to advance the interests of the Company by enhancing the Company?s ability to attract, retain and motivate persons who make (or are expected to make) important contributions to the Company by providing such persons with equity ownership opportun |
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| August 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 17, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissi |
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| August 19, 2022 |
Form of Profits Interest Award Agreement under the Management Incentive Plan Exhibit 10.2 ONKOSXCEL THERAPEUTICS, LLC AND ONKOSXCEL EMPLOYEE HOLDINGS, LLC MANAGEMENT Incentive Plan PROFITS UNIT AWARD AGREEMENT GRANT NOTICE Unless otherwise defined herein, the terms defined in the OnkosXcel Therapeutics, LLC and OnkosXcel Employee Holdings, LLC Management Incentive Plan (the ?Plan?) shall have the same defined meanings in this Profits Unit Award Agreement, which includes th |
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| August 16, 2022 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) BioXcel Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1?Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, $0.001 |
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| August 16, 2022 |
As filed with the Securities and Exchange Commission on August 16, 2022 As filed with the Securities and Exchange Commission on August 16, 2022 Registration No. |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 11, 2022 |
? Certain information marked as [***] has been excluded from this exhibit because it is both (i) not material and (ii) of the type that the registrant customarily and actually treats as confidential. |
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| August 11, 2022 |
Non-Employee Director Compensation Program ? BioXcel Therapeutics, Inc. ? Non-Employee Director Compensation Program (Effective as of May 19, 2022) ? Non-employee members of the board of directors (the ?Board?) of BioXcel Therapeutics, Inc. (the ?Company?) shall receive cash and equity compensation as set forth in this Non-Employee Director Compensation Program (this ?Program?). The cash and equity compensation described in this Program sh |
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| August 11, 2022 |
Commercial Supply Agreement, between ARx, LLC and BioXcel Therapeutics, Inc., dated April 1, 2022 Execution copy confidential ? Certain information marked as [***] has been excluded from this exhibit because it is both (i) not material and (ii) of the type that the registrant customarily and actually treats as confidential. |
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| August 11, 2022 |
? Certain information marked as [***] has been excluded from this exhibit because it is both (i) not material and (ii) of the type that the registrant customarily and actually treats as confidential. |
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| August 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 9, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| August 9, 2022 |
Exhibit 99.1 BioXcel Therapeutics Reports Second Quarter 2022 Financial Results and Recent Operational Highlights Commercially launched IGALMI™ (dexmedetomidine) sublingual film for the acute treatment of agitation in bipolar I or II disorder and schizophrenia in adult patients SERENITY III pivotal trial evaluating at-home use of BXCL501 for the acute treatment of agitation in bipolar and schizoph |
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| July 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 21, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| July 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 6, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| July 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 30, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| June 14, 2022 |
BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, Connecticut 06511 CORRESP 1 filename1.htm BioXcel Therapeutics, Inc. 555 Long Wharf Drive New Haven, Connecticut 06511 June 14, 2022 Via EDGAR Transmission Securities and Exchange Commission Division of Corporation Finance Mail Stop 3010 100 F Street, N.E. Washington, D.C. 20549 Attention: Michael Davis Re: BIOXCEL THERAPEUTICS, INC. Registration Statement on Form S-3 (Registration No. 333-265277) Ladies and Gentle |
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| May 31, 2022 |
May 31, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| May 27, 2022 |
Exhibit 107 CALCULATION OF FILING FEE TABLE Registration Statement Form S-3 (Form Type) BioXcel Therapeutics, Inc. |
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| May 27, 2022 |
As filed with the Securities and Exchange Commission on May 27, 2022 TABLE OF CONTENTS As filed with the Securities and Exchange Commission on May 27, 2022 Registration No. |
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| May 23, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 19, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| May 9, 2022 |
BioXcel Trademark License Agreement, between the Company and BioXcel LLC ? Exhibit 10.1 Execution Version BioXcel Trademark License Agreement This BioXcel Trademark License Agreement (?Agreement?) is by and between BioXcel LLC (?Licensor?) and BioXcel Therapeutics, Inc. (?Licensee?) (collectively, the Licensee and Licensor may be referred to herein as the ?Parties,? or each individually, a ?Party?). The Agreement is effective as of April 19, 2022 (the ?Effective Date?) |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 9, 2022 |
Exhibit 10.2 Execution Version SECOND AMENDMENT TO SECOND AMENDED & RESTATED SEPARATION AND SHARED SERVICES AGREEMENT This Second Amendment to Second Amended & Restated Separation and Shared Services Agreement (?Second Amendment?), effective as of April 19, 2022 (the ?Second Amendment Effective Date?), is made by and between BioXcel LLC, a Delaware limited liability company, located at 2614 Boston |
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| May 9, 2022 |
Exhibit 99.1 BioXcel Therapeutics Reports First Quarter 2022 Financial Results and Recent Operational Highlights Received FDA approval of IGALMI™ (dexmedetomidine) sublingual film for acute treatment of agitation associated with schizophrenia or bipolar I or II disorder in adults Top-line data readout in Q4 2022/early Q1 2023 for TRANQUILITY II Phase 3 trial evaluating BXCL501 in acute treatment o |
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| May 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 9, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission F |
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| April 19, 2022 |
Exhibit 4.1 [FORM OF] Company WARRANT NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE OR CONVERSION HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), OR ANY APPLICABLE STATE SECURITIES LAW AND MAY NOT BE TRANSFERRED EXCEPT (I) IN ACCORDANCE WITH THE SECURITIES ACT OR SUCH APPLICABLE STATE SECURITIES LAWS, PURSUANT TO REGISTRATION OR EXEMPT |
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| April 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 19, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| April 19, 2022 |
Exhibit 4.2 BIOXCEL THERAPEUTICS, INC. REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made as of April 19, 2022, by and among BioXcel Therapeutics, Inc., a Delaware corporation (the ?Company?), the purchasers identified on Schedule A hereto (each, a ?Purchaser?) and such other Persons, if any, from time to time, that become a party hereto as holders of Regis |
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| April 7, 2022 |
Entry into a Material Definitive Agreement, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 1, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commission |
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| April 5, 2022 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A? (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy |
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| April 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| March 11, 2022 |
Subsidiaries of BioXcel Therapeutics, Inc. Exhibit 21.1 Subsidiaries BioXcel Therapeutics, Inc. has no subsidiaries. |
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| March 11, 2022 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be paid Equity Common Stock, $0. |
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| March 11, 2022 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be paid Equity Common Stock, $0. |
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| March 11, 2022 |
As filed with the Securities and Exchange Commission on March 11, 2022 POS AM 1 tm228772d2posam.htm POS AM As filed with the Securities and Exchange Commission on March 11, 2022 Registration No. 333-240118 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Post-Effective Amendment No. 2 to Form S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (Sta |
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| March 11, 2022 |
Employment Agreement between Matthew Wiley and BioXcel Therapeutics, Inc., dated January 12, 2022. Exhibit 10.20 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (the ?Agreement?) is made and entered into as of January 12, 2022, by and between Matthew T. Wiley (the ?Executive?) and BioXcel Therapeutics, Inc., a Delaware corporation (the ?Company?). RECITALS WHEREAS, the Company wishes to retain Executive as its Senior Vice President, Chief Commercial Officer commencing on Janu |
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| March 11, 2022 |
POSASR 1 tm228772d1posam.htm POSASR As filed with the Securities and Exchange Commission on March 10, 2022 Registration No. 333-240118 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Post-Effective Amendment No. 1 to Form S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware (Sta |
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| March 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 10, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commissio |
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| March 10, 2022 |
Exhibit 99.1 BioXcel Therapeutics Reports Fourth Quarter and Full Year 2021 Financial Results and Recent Operational Highlights Ready to launch BXCL501 upon approval as Company nears April 5, 2022 PDUFA action date Initiated TRANQUILITY II AND III pivotal Phase 3 trials for BXCL501 in acute treatment of agitation associated with Alzheimer?s disease Submitted IND to evaluate BXCL501 as adjunctive t |
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| February 14, 2022 |
BTAI / BioXcel Therapeutics Inc / BioXcel Holdings, Inc. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* BioXcel Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 09075P105 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 14, 2022 |
BTAI / BioXcel Therapeutics Inc / ALLIANCEBERNSTEIN L.P. Passive Investment SC 13G 1 Bioxcel.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Bioxcel Therapeutics Inc (Name of Issuer) Common Stock (Title of Class of Securities) 09075P105 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| January 13, 2022 |
Regulation FD Disclosure, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 13, 2022 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
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| December 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 1, 2021 BioXcel Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38410 82-1386754 (State or other jurisdiction of incorporation) (Commiss |
