| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 06/26/2023 | BioXcel Therapeutics, Inc. | BTAI | Other (disposition) | Stock Option (Right to Buy) | 17k | $17.52 | $297.8k | | 06/26/2023 |
| 06/26/2023 | BioXcel Therapeutics, Inc. | BTAI | Grant | Stock Option (Right to Buy) | 17k | $17.52 | $297.8k | | 06/26/2023 |
| 05/19/2022 | BioXcel Therapeutics, Inc. | BTAI | Grant | Stock Option (Right to Buy) | 17k | $13.24 | $225.1k | | 05/19/2022 |
| 05/19/2022 | BioXcel Therapeutics, Inc. | BTAI | Other (disposition) | Stock Option (Right to Buy) | 17k | $13.24 | $225.1k | | 05/19/2022 |
| 06/11/2021 | BioXcel Therapeutics, Inc. | BTAI | Other (disposition) | Stock Option (Right to Buy) | 14.5k | $37.86 | $549k | | 06/11/2021 |
| 06/11/2021 | BioXcel Therapeutics, Inc. | BTAI | Grant | Stock Option (Right to Buy) | 14.5k | $37.86 | $549k | | 06/11/2021 |
| 05/21/2020 | BioXcel Therapeutics, Inc. | BTAI | Grant | Stock Option (Right to Buy) | 20k | $49.74 | $994.8k | | 05/21/2020 |
| 05/21/2020 | BioXcel Therapeutics, Inc. | BTAI | Other (disposition) | Stock Option (Right to Buy) | 20k | $49.74 | $994.8k | | 05/21/2020 |
| 05/23/2019 | BioXcel Therapeutics, Inc. | BTAI | Other (disposition) | Stock Option (Right to Buy) | 4.7k | $10.04 | $47.2k | | 05/23/2019 |
| 05/23/2019 | BioXcel Therapeutics, Inc. | BTAI | Grant | Stock Option (Right to Buy) | 4.7k | $10.04 | $47.2k | | 05/23/2019 |
| 03/07/2019 | BioXcel Therapeutics, Inc. | BTAI | Disposition | Stock Options (Right to Buy) | 10k | $7.91 | $79.1k | | 03/07/2019 |
| 10/08/2018 | Emmaus Life Sciences, Inc. | MYND | Grant | COMMON STOCK | 144k | $1.38 | $198.7k | | 10/08/2018 |
| 10/08/2018 | Emmaus Life Sciences, Inc. | MYND | Grant | COMMON STOCK | 144k | $1.38 | $198.7k | | 10/08/2018 |
| 10/08/2018 | Emmaus Life Sciences, Inc. | MYND | Disposition | COMMON STOCK | 144k | $1.38 | $198.7k | | 10/08/2018 |