Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. On August 31, 2026, the Company was notified by the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) that Nasdaq had determined to delist the Company’s common stock, par value $0.001 per share (the “Common Stock”) in accordance with Nasdaq Listing Rules 5101, 5110(b), and IM 5101-1 as a result of the Company’s commencement of voluntary proceedings under Chapter 11 of…

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. As previously reported, on August 27, 2026, BioXcel Therapeutics, Inc. (the “Company”) and its subsidiaries (together with the Company, the “Debtors”) each filed voluntary petitions for relief under Chapter 11 of the Bankruptcy Code in the United States Bankruptcy Court for the District of Delaware (such court, the “Court” and such cases, the “Cases”). In connection with the Case…

Entry into a Material Definitive Agreement. The information set forth below in

Bankruptcy or Receivership. On August 27, 2026 (the “Petition Date”), BioXcel Therapeutics, Inc. (the “Company”) and its subsidiaries OnkosXcel Therapeutics, LLC and OnkosXcel Employee Holdings, LLC (together with the Company, the “Debtors”) each filed voluntary petitions for relief under Chapter 11 of the Bankruptcy Code in the United States Bankruptcy Court for the District of Delaware (such court, the “Court” and such cases, the “Cases”). The Debtors have requested that the Cases be jointl…

Entry into a Material Definitive Agreement. On August 24, 2026, BioXcel Therapeutics, Inc. (the “Company”) entered into the Fourteenth Amendment to Credit Agreement and Guaranty (the “Fourteenth Amendment”), which amended the Credit Agreement and Guaranty, dated April 19, 2022, as amended (the “Credit Agreement”), by and among the Company, as the borrower, certain subsidiaries of the Company from time to time party thereto as subsidiary guarantors, the lenders party thereto (the “Lenders”), a…

Entry into a Material Definitive Agreement. On August 21, 2026, BioXcel Therapeutics, Inc. (the “Company”) entered into the Thirteenth Amendment to Credit Agreement and Guaranty (the “Thirteenth Amendment”), which amended the Credit Agreement and Guaranty, dated April 19, 2022, as amended (the “Credit Agreement”), by and among the Company, as the borrower, certain subsidiaries of the Company from time to time party thereto as subsidiary guarantors, the lenders party thereto (the “Lenders”), a…

Entry into a Material Definitive Agreement. On August 10, 2026, BioXcel Therapeutics, Inc. (the “Company”) entered into the Twelfth Amendment to Credit Agreement and Guaranty and First Amendment to Security Agreement (the “Twelfth Amendment”), which amended the Credit Agreement and Guaranty, dated April 19, 2022, as amended (the “Credit Agreement”), by and among the Company, as the borrower, certain subsidiaries of the Company from time to time party thereto as subsidiary guarantors, the lend…

Entry into a Material Definitive Agreement. On July 31, 2026, BioXcel Therapeutics, Inc. (the “Company”) entered into the Eleventh Amendment to Credit Agreement and Guaranty (the “Eleventh Amendment”), which amended the Credit Agreement and Guaranty, dated April 19, 2022, as amended (the “Credit Agreement”), by and among the Company, as the borrower, certain subsidiaries of the Company from time to time party thereto as subsidiary guarantors, the lenders party thereto (the “Lenders”), and Oak…

Entry into a Material Definitive Agreement. On July 3, 2026, BioXcel Therapeutics, Inc. (the “Company”) entered into the Tenth Amendment to Credit Agreement and Guaranty (the “Tenth Amendment”), which amended the Credit Agreement and Guaranty, dated April 19, 2022, as amended (the “Credit Agreement”), by and among the Company, as the borrower, certain subsidiaries of the Company from time to time party thereto as subsidiary guarantors, the lenders party thereto (the “Lenders”), and Oaktree Fu…

Results of Operations and Financial Condition. On May 15, 2026, BioXcel Therapeutics, Inc. (the “Company”) issued a press release announcing its financial results for the three months ended March 31, 2026 and provided a business update. A copy of the Company’s press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference. The information disclosed under this Item 2.02, including Exhibit 99.1 hereto, is being furnished and shall not be deeme…

Unregistered Sales of Equity Securities. On March 27, 2026, BioXcel Therapeutics, Inc. (the “Company”) entered into the Ninth Amendment to the Credit Agreement and Guaranty, dated April 19, 2022, as amended (“Ninth Amendment”). Pursuant to the terms of the Ninth Amendment, on April 15, 2026, the Company granted the lenders under the Ninth Amendment (the “Lenders”) warrants to purchase up to 1,353,729 shares of common stock at an exercise price of $0.01 per share (the “Amendment Warrants”). Th…

Results of Operations and Financial Condition. On March 27, 2026, BioXcel Therapeutics, Inc. (the “Company”) issued a press release announcing its financial results for the three months and year ended December 31, 2025 and provided a business update. A copy of the Company’s press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference. The information disclosed under this Item 2.02, including Exhibit 99.1 hereto, is being furnished and shal…

Entry into a Material Definitive Agreement. Registered Direct Offering and Warrant Amendment On March 10, 2026, BioXcel Therapeutics, Inc. (the “Company”) entered into a securities purchase agreement (the “Purchase Agreement”) with the purchaser named therein (the “Purchaser”). Pursuant to the Purchase Agreement, the Company agreed to issue and sell to the Purchaser and the Purchaser agreed to buy in a registered direct offering (the “Offering”) (i) an aggregate of 2,480,294 shares (the “Shar…

Other Events. On February 12, 2026, BioXcel Therapeutics, Inc. (the “Company”) announced the completion of an updated market opportunity assessment for IGALMI® for acute agitation associated with bipolar disorders or schizophrenia in the at-home (outpatient) setting, informed by results from the SERENITY At-Home clinical study. The Company submitted a supplemental New Drug Application (sNDA) last month seeking the FDA’s approval of IGALMI for at-home use in the acute treatment of agitation as…

The company provided retention and milestone-based bonus compensation to key employees, including senior management.

Other Events. On January 12, 2026, BioXcel Therapeutics, Inc. (the “Company”) announced that Mark Pavao is joining the Company as Interim Chief Commercial Officer to support the potential launch of IGALMI in the at-home setting. The Company plans to submit a supplemental New Drug Application (sNDA) this month seeking the FDA’s approval of IGALMI for at-home use in the acute treatment of agitation associated with bipolar disorders or schizophrenia. Forward-Looking Statements This Current Repor…

Results of Operations and Financial Condition. On November 12, 2025, BioXcel Therapeutics, Inc. (the “Company”) issued a press release announcing its financial results for the three months ended September 30, 2025 and provided a business update. A copy of the Company’s press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and incorporated herein by reference. The information disclosed under this Item 2.02, including Exhibit 99.1 hereto, is being furnished and shall not…

Other Events. On October 30, 2025, BioXcel Therapeutics, Inc. (the “Company”) provided an update regarding the expected timing of submission of a Supplemental New Drug Application (sNDA) for a label expansion of IGALMI®, which is FDA-approved and marketed for the acute treatment of agitation associated with bipolar I or II disorder or schizophrenia in medically supervised settings. With the recent progress toward finalizing clinical study reports and additional components of the sNDA package,…

Other Events. On October 14, 2025, BioXcel Therapeutics, Inc. (the “Company”) announced positive results from the correlation study related to exploratory efficacy outcomes from the SERENITY At Home trial. The results, along with the data from the SERENITY At Home trial, will be included in the supplemental New Drug Application (sNDA) submission that is planned for the first quarter of 2026. The standard method for measuring acute agitation associated with schizophrenia and bipolar disorder i…

Regulation FD. On September 15, 2025, BioXcel Therapeutics, Inc. (the “Company”) provided the following corporate and financing updates: Clinical Trial Update On September 13, 2025, the Company completed enrollment in its open label clinical study designed to evaluate the correlation between the patient-and informant-reported mCGI-S measurement and the Positive and Negative Syndrome Scale-Excitatory Component (“PEC”) scale, conducted by trained raters. The study was designed to evaluate appro…

of this Current Report on Form 8-K and incorporated herein by reference, other than the sixth paragraph. Forward-Looking Statements This current report 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 provisions for forward-looking statements contained in Section 27A of the Securities Act of 1933, as amended and Section 21E of the Securities Exchange Act…

Other Events. On September 10, 2025, BioXcel Therapeutics, Inc. (the “Company”) announced positive topline exploratory efficacy data from SERENITY At-Home Pivotal Phase 3 safety trial for agitation associated with bipolar disorders or schizophrenia The SERENITY At-Home study is a Pivotal Phase 3, double-blind, placebo-controlled, 12-week clinical trial designed to evaluate the safety of BXCL501 (120 mcg dose) for the acute treatment of agitation associated with bipolar disorders or schizophre…

Other Events. On August 27, 2025, BioXcel Therapeutics, Inc. (the “Company”) announced that the SERENITY At-Home Pivotal Phase 3 trial evaluating the safety of BXCL501, the Company’s proprietary, sublingual film formulation of dexmedetomidine, as an acute treatment for agitation associated with bipolar disorders or schizophrenia in the at-home setting, met its primary endpoint. The SERENITY At-Home Pivotal Phase 3 trial is a double-blind, placebo-controlled 12 week trial designed to evaluate…

Other Events. On August 18, 2025, BioXcel Therapeutics, Inc. (the “Company”) announced it had received positive pre-sNDA meeting comments from the U.S. Food and Drug Administration (“FDA”) for the planned supplemental new drug application (“sNDA”) submission for BXCL501 in agitation associated with bipolar disorders or schizophrenia in the at-home (outpatient) setting. Based on the FDA’s feedback, the Company believes that the planned sNDA regulatory package will be sufficient to support the…

Other Events. ATM Opinion Filing On April 3, 2025, the Company entered into an Equity Distribution Agreement with Canaccord Genuity LLC to sell shares of Common Stock through any method permitted that is deemed an “at the market offering” as defined in Rule 415(a)(4) under the Securities Act of 1933, as amended, under which Canaccord Genuity LLC will act as sales agent (the “ATM Program”). On August 18, 2025 the Company filed a prospectus supplement with the Securities and Exchange Commission…