{"url_path":"/sec/btai/10-q/2026/item-6","section_key":"item-6","section_title":"Item 6 Exhibits","topic":"sec","document":{"doc_type":"10-Q","doc_date":"2026-05-15","source_url":"https://www.sec.gov/Archives/edgar/data/1720893/0001104659-26-061769-index.html","accession_number":"0001104659-26-061769","cik":"0001720893","ticker":"BTAI","issuer_name":"BioXcel Therapeutics, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1720893/0001104659-26-061769-index.html","primary_entity_key":"0001720893","primary_entity_name":"BioXcel Therapeutics, Inc."},"word_count":1111,"has_tables":true,"body_markdown":"Item 6. Exhibits\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n**Exhibit********Number**\n\n  ​ ​ ​\n\n**Description**\n\n**  ​ ​ ​**\n\n**Form**\n\n**  ​ ​ ​**\n\n**File No.**\n\n**  ​ ​ ​**\n\n**Exhibit**\n\n**  ​ ​ ​**\n\n**Filing Date**\n\n**  ​ ​ ​**\n\n**Filed/********Furnished********Herewith**\n\n 3.1\n\n​\n\n[Amended and Restated Certificate of Incorporation, as amended.](https://www.sec.gov/Archives/edgar/data/1720893/000155837021011074/btai-20210630xex3d1.htm)\n\n​\n\n10-Q\n\n​\n\n001-38410\n\n​\n\n3.1\n\n​\n\n8/10/2021\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n 3.2\n\n​\n\n[Certificate of Amendment to Amended and Restated Certificate of Incorporation of BioXcel Therapeutics, Inc., as amended, dated June 10, 2024.](https://www.sec.gov/Archives/edgar/data/1720893/000110465924070503/tm249625d6_ex3-1.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n3.1\n\n​\n\n6/12/2024\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n3.3\n\n​\n\n[Certificate of Amendment to the Amended and Restated Certificate of Incorporation of BioXcel Therapeutics, Inc.](https://www.sec.gov/Archives/edgar/data/1720893/000110465925009906/tm255604d1_ex3-1.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n3.1\n\n​\n\n2/6/2025\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n3.4\n\n​\n\n[Amended and Restated Bylaws.](https://www.sec.gov/Archives/edgar/data/1720893/000110465918016770/a18-8090_1ex3d2.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n3.2\n\n​\n\n3/13/2018\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n4.1\n\n​\n\n[Form of Accompanying Warrant issued March 11, 2026 Equity Distribution Agreement, by and between the Company and Canaccord Genuity LLC](https://www.sec.gov/Archives/edgar/data/1720893/000110465926026409/tm268136d3_ex4-1.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n4.1\n\n​\n\n3/11/2026\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n4.2\n\n​\n\n[Form of Pre-Funded Warrant issued March 11, 2026](https://www.sec.gov/Archives/edgar/data/1720893/000110465926026409/tm268136d3_ex4-2.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n4.2\n\n​\n\n3/11/2026\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n4.3\n\n​\n\n[Form of Placement Agent Warrant issued March 11, 2026](https://www.sec.gov/Archives/edgar/data/1720893/000110465926026409/tm268136d3_ex4-3.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n4.3\n\n​\n\n3/11/2026\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n4.4\n\n​\n\n[Form of New Warrant (warrant issued to the Lenders pursuant to the Ninth Amendment to Credit Agreement and Guaranty)](https://www.sec.gov/Archives/edgar/data/1720893/000110465926044952/tm2612008d1_ex4-1.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n4.1\n\n​\n\n4/17/2026\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n4.5\n\n​\n\n[Form of Fourth Amended and Restated Registration Rights Agreement, dated as of April 15, 2026, by and among the Company and the Lenders party thereto](https://www.sec.gov/Archives/edgar/data/1720893/000110465926044952/tm2612008d1_ex4-2.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n4.2\n\n​\n\n4/17/2026\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n10.1\n\n​\n\n[Securities Purchase Agreement, dated as of March 10, 2026, between the Company and the purchaser party thereto](https://www.sec.gov/Archives/edgar/data/1720893/000110465926026409/tm268136d3_ex10-1.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n10.1\n\n​\n\n3/11/2026\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n10.2\n\n​\n\n[Warrant Amendment Agreement, dated as of March 10, 2026, between the Company and the Purchaser named therein](https://www.sec.gov/Archives/edgar/data/1720893/000110465926026409/tm268136d3_ex10-2.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n10.2\n\n​\n\n3/11/2026\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n10.4\n\n​\n\n[Equity Distribution Agreement, by and between the Company and Canaccord Genuity LLC](https://www.sec.gov/Archives/edgar/data/1720893/000110465925031713/tm2511361d2_ex1-1.htm)\n\n​\n\n8-K\n\n​\n\n001-38410\n\n​\n\n1.1\n\n​\n\n4/3/2025\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n137\n\n[Table of Contents](#TOC)\n\n10.5\n\n​\n\n[Ninth Amendment to Credit Agreement and Guaranty, dated as of March 27, 2026, by and among the Company, the lenders party thereto and Oaktree Fund Administration, LLC, as administrative agent](https://www.sec.gov/Archives/edgar/data/1720893/000110465926036214/btai-20251231xex10d229.htm)\n\n​\n\n10-K\n\n​\n\n001-38410\n\n​\n\n10.22.9\n\n​\n\n3/27/2026\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n31.1\n\n​\n\n[Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.](btai-20260331xex31d1.htm)\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*****\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n31.2\n\n​\n\n[Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.](btai-20260331xex31d2.htm)\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*****\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n32.1\n\n​\n\n[Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.](btai-20260331xex32d1.htm)\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n******\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n32.2\n\n​\n\n[Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.](btai-20260331xex32d2.htm)\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n******\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n101.INS\n\n​\n\nInline XBRL Instance Document\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*****\n\n​\n\n​\n\n- the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n101.SCH\n\n​\n\nInline XBRL Taxonomy Extension Schema Document\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*****\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n101.CAL\n\n​\n\nInline XBRL Taxonomy Extension Calculation Linkbase Document\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*****\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n101.DEF\n\n​\n\nInline XBRL Taxonomy Extension Definition Linkbase Document\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*****\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n101.LAB\n\n​\n\nInline XBRL Taxonomy Extension Label Linkbase Document\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*****\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n101.PRE\n\n​\n\nInline XBRL Taxonomy Extension Presentation Linkbase Document\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n138\n\n[Table of Contents](#TOC)\n\n104\n\n​\n\nCover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n​\n\n*****\n\n*\n\nFiled herewith.\n\n**\n\nFurnished herewith.\n\n139\n\n[Table of Contents](#TOC)\n\nSIGNATURES\n\nPursuant 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 thereunto duly authorized.\n\n​\n\n​\n\n​\n\nBioXcel Therapeutics, Inc.\n\n​\n\n​\n\nDated: May 15, 2026\n\nBy:\n\n​\n\n/s/ Vimal Mehta\n\n​\n\nVimal Mehta\n\n​\n\nChief Executive Officer\n\n​\n\n*(Principal Executive Officer)*\n\n​\n\n​\n\n​\n\n​\n\nDated: May 15, 2026\n\nBy:\n\n​\n\n/s/ Richard Steinhart\n\n​\n\nRichard Steinhart\n\n​\n\nChief Financial Officer\n\n​\n\n*(Principal Financial Officer)*\n\n​\n\n​\n\n140"}