# EDGAR Filing Document

**Accession Number:** 0001720893
**File Stem:** 0001104659-25-121180
**Filing Date:** 2025-12
**Character Count:** 6846
**Document Hash:** 09919dd378e2b629ba967fb58a1fbd68
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-121180.hdr.sgml**: 20251215

**ACCESSION NUMBER**: 0001104659-25-121180

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20251212

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20251215

**DATE AS OF CHANGE**: 20251215

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BioXcel Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001720893
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 821386754
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38410
- **FILM NUMBER:** 251572019

**BUSINESS ADDRESS:**
- **STREET 1:** 555 LONG WHARF DRIVE
- **CITY:** NEW HAVEN
- **STATE:** CT
- **ZIP:** 06511
- **BUSINESS PHONE:** 203-643-8060

**MAIL ADDRESS:**
- **STREET 1:** 555 LONG WHARF DRIVE
- **CITY:** NEW HAVEN
- **STATE:** CT
- **ZIP:** 06511

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

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**FORM 8-K**

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**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, 2025**

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**BioXcel Therapeutics, Inc.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-38410** | **82-1386754** |
| (State or other jurisdiction of<br> incorporation) | (Commission File Number) | (IRS Employer<br> Identification No.) |

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**555 Long Wharf Drive**

**New Haven** **, CT 06511**

(Address of principal executive offices) (Zip Code)

**(475) 238-6837**

Registrant's telephone number, including area code

**N/A**

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

◻ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

◻ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

◻ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

◻ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which** **registered** |
| Common Stock, par value $0.001 | BTAI | The Nasdaq Capital Market |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ◻

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ◻

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| | |
|:---|:---|
| **Item 5.07.** | **Submission of Matters to a Vote of Security Holders.** |

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On December 12, 2025, BioXcel Therapeutics, Inc. (the "Company") held its annual meeting of stockholders (the "Annual Meeting"). At the Annual Meeting, a total of 9,726,849 shares of common stock were present in person or represented by proxy at the meeting, representing approximately 44.68% of the Company's outstanding common stock as of the October 31, 2025 record date. The following are the voting results for the proposals considered and voted upon at the meeting, each of which were described in the Company's definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on November 12, 2025.

Proposal 1 — Election of three Class I directors for a term of office expiring on the date of the annual meeting of stockholders in 2028 and until their respective successors have been duly elected and qualified.

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| | | | |
|:---|:---|:---|:---|
| **Nominee** | **Votes FOR** | **Votes WITHHELD** | **Broker Non-Votes** |
| June Bray | 1735749 | 322163 | 7668937 |
| Sandeep Laumas, M.D. | 1474122 | 583790 | 7668937 |
| David Mack | 1840490 | 217422 | 7668937 |

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Proposal 2 — Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2025.

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| | | | |
|:---|:---|:---|:---|
| **Votes FOR** | **Votes AGAINST** | **Votes ABSTAINED** | **Broker Non-Votes** |
| 9,478,711 | 202558 | 45580 | 0 |

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Proposal 3 — Approval, on an advisory (non-binding) basis, of the compensation of our named executive officers.

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| | | | |
|:---|:---|:---|:---|
| **Votes FOR** | **Votes AGAINST** | **Votes ABSTAINED** | **Broker Non-Votes** |
| 1,616,305 | 394890 | 46717 | 7668937 |

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Proposal 4 — Approval of an amendment to our Amended and Restated Certificate of Incorporation, as amended to effect, within 12 months following the date of stockholder approval and solely if the Board determines it is necessary and advisable to regain compliance with the minimum bid price requirements of the Nasdaq Capital Market, a reverse stock split at a ratio of not less than 1-for-2 and not greater than 1-for-20, with the exact ratio to be set within that range by the Board.

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| | | | |
|:---|:---|:---|:---|
| **Votes FOR** | **Votes AGAINST** | **Votes ABSTAINED** | **Broker Non-Votes** |
| 7,557,091 | 2116237 | 53521 | 0 |

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Proposal 5 — Authorization of one or more adjournments of the Annual Meeting to solicit additional proxies in the event there are insufficient votes to approve Proposal 4 described above.

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| | | | |
|:---|:---|:---|:---|
| **Votes FOR** | **Votes AGAINST** | **Votes ABSTAINED** | **Broker Non-Votes** |
| 8,137,303 | 1508591 | 80955 | 0 |

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Based on the foregoing, the three director nominees were elected, and Proposals 2, 3, 4 and 5 were approved, and adjournment of the Annual Meeting was not necessary or appropriate because there were sufficient votes in favor of Proposal 4.

**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | **BIOXCEL THERAPEUTICS, INC.** | **BIOXCEL THERAPEUTICS, INC.** |
| Date: December 15, 2025 | By: | /s/ Richard Steinhart |
|  |  | Richard Steinhart |
|  |  | Chief Financial Officer |

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