File a Claim Online If you prefer to mail your claim, you can download a copy of the Proof of Claim form from the Important Documents page. Hills et al. v. BioXcel Therapeutics, Inc., et al. - Claim Form Δ Step 1 of 6 16% claim_id This form allows you to file your claim online securely through our website. If you wish to file a paper claim or review any of the documents related to this case, please click the Notice of Pendency and Proposed Settlement of Class Action and Proof of Claim and Release Form link found in the Important Documents section of the case page. Before you begin: Please have the following items ready to go before you begin filing your online claim form; it will make the process easier for you. • You should have copies of your statements for the relevant date ranges so that you can enter your transactions. • You should have copies of these statements scanned and saved on your computer so that you can upload them as proof. We prefer files in PDF format, but we can accept most file formats. 1. General Instructions Please read this important information about the case. It provides important details you should understand before you file your claim. 2. Claimant Identification / Information Please enter your current contact information to assist us in identifying your claim and contacting you for additional information and updates. We recommend you turn off auto-fill settings in your browser to ensure incorrect information is not added by mistake. You will receive a confirmation email that we received your claim at the email address you provide. Important: Double-check the information before you click Next, as you will not have the opportunity to review it again prior to submitting. 3. Schedule of Transactions Please read the instructions carefully and enter your relevant transactions. You must ensure that the number of shares in Beginning holdings, plus purchases/acquisitions, minus sales, minus ending holdings equals zero. This ensures that all relevant transactions are accounted for. The form will not allow you to continue until all outstanding shares are accounted for. 4. Documentation Please drag and drop your files or click Select Files to choose the documents you will provide as proof of your transactions and holdings. Trade confirmations and monthly statements from your brokerage firm are typically the best documents to use as proof. Once a file upload completes, the file name will appear below the upload box. You may click the trash can icon to remove a file if it was added in error. 5. Release and Certification Please read the Release and Certification carefully. By typing your name and date in the fields provided, you are signing the document and certifying that all information submitted is true, correct, and complete. After You Click the Submit Button Within a few minutes of submitting your claim, you will receive a confirmation email containing your Form ID along with the information you submitted. If you need to amend your claim, please reference the Form ID provided. If you do not receive the confirmation email, be sure to check your spam or junk folder. Online Claim Form Template - BioXcel (List Version) Deadline for Submission: June 30, 2026 PROOF OF CLAIM AND RELEASE FORM I. GENERAL INSTRUCTIONS To recover as a member of the Settlement Class based on your claims in the action entitled Hills et al. v. BioXcel Therapeutics, Inc., et al., No. 3:23-CV-915 (D. Conn.) (the “Litigation”), you must complete and, on page 7 hereof, sign this Proof of Claim and Release Form. If you fail to file a properly addressed (as set forth in paragraph 3 below) Proof of Claim and Release Form, your claim may be rejected and you may be precluded from any recovery from the Settlement Fund created in connection with the proposed Settlement of the Litigation.1 Submission of this Proof of Claim and Release Form, however, does not ensure that you will share in the proceeds of settlement in the Litigation. YOU MUST SUBMIT AN ELECTRONIC VERSION OR MAIL YOUR COMPLETED AND SIGNED PROOF OF CLAIM AND RELEASE FORM ON OR BEFORE JUNE 30, 2026, ADDRESSED AS FOLLOWS: Hills et al. v. BioXcel Therapeutics, Inc., et al. c/o Strategic Claims Services 600 N. Jackson St., Suite 205 Media, PA 19063 If you are a Settlement Class Member, you are bound by the terms of any judgment entered in the Litigation, WHETHER OR NOT YOU SUBMIT A PROOF OF CLAIM AND RELEASE FORM unless you timely and validly request exclusion from the Settlement Class pursuant to the Notice. II. CLAIMANT IDENTIFICATION If you purchased or acquired BioXcel Therapeutics, Inc. (“BioXcel”) securities and held the certificate(s) in your name, you are the beneficial purchaser or acquirer as well as the record purchaser or acquirer. If, however, the certificate(s) were registered in the name of a third party, such as a nominee or brokerage firm, you are the beneficial purchaser and the third party is a record purchaser. Use Part I of this form entitled “Claimant Identification” to identify each purchaser of record (“nominee”), if different from the beneficial purchaser of BioXcel securities which form the basis of this claim, as well as the beneficial purchaser(s) of such BioXcel securities. THIS CLAIM MUST BE FILED BY THE ACTUAL BENEFICIAL PURCHASER OR PURCHASERS, OR THE LEGAL REPRESENTATIVE OF SUCH PURCHASER OR PURCHASERS OF THE BIOXCEL SECURITIES UPON WHICH THIS CLAIM IS BASED. All joint purchasers must sign this claim. Executors, administrators, guardians, conservators, and trustees must complete and sign this claim on behalf of Persons represented by them; their authority must accompany this claim and their titles or capacities must be stated. The Social Security (or taxpayer identification) number and telephone number of the beneficial owner may be used in verifying the claim. Failure to provide the foregoing information could delay verification of your claim or result in rejection of the claim. III. CLAIM FORM Use Part II of this form entitled “Schedule of Transactions in BioXcel Securities” to supply all required details of your transaction(s). If you need more space or additional schedules, attach separate sheets, giving all of the required information in substantially the same form. Sign and print or type your name on each additional sheet. On the schedules, provide all the requested information with respect to all of your purchases or acquisitions and all of your sales of BioXcel securities which took place at any time between March 9, 2023 and June 28, 2023, both dates inclusive, whether such transactions resulted in a profit or a loss. Failure to report all such transactions may result in the rejection of your claim. List each transaction in the Class Period separately and in chronological order by trade date, beginning with the earliest. You must accurately provide the month, day, and year of each transaction you list. Broker confirmations or other documentation of your transactions in BioXcel securities should be attached to your claim. Failure to provide this documentation could delay verification of your claim or result in rejection of your claim. The above requests are designed to provide the minimum amount of information necessary to process the simplest claims. NOTICE REGARDING INSTITUTIONAL FILERS: Representatives with authority to file on behalf of (a) accounts of multiple Settlement Class Members and/or (b) institutional accounts with large numbers of transactions (“Representative Filers”) must submit information regarding their transactions in an electronic spreadsheet format. If you are a Representative Filer, you must contact the Claims Administrator at info@strategicclaims.net or visit the Settlement website at www.bioxcelsecuritiessettlement.com to obtain the required file layout. Claims which are not submitted in electronic spreadsheet format and in accordance with the Claims Administrator’s instructions may be subject to rejection. All Representative Filers MUST also submit a manually signed Proof of Claim and Release Form, as well as proof of authority to file (see Item 3 of the Claimant Identification), along with the electronic spreadsheet format. No claims submitted in electronic spreadsheet format will be considered to have been properly submitted unless the Claims Administrator issues to the claimant a written acknowledgment of receipt and acceptance of electronically submitted data. NOTICE REGARDING ONLINE FILING: Claimants who are not Representative Filers may submit their claims online using the electronic version of the Proof of Claim and Release Form hosted at www.bioxcelsecuritiessettlement.com. If you are not acting as a Representative Filer, you do not need to contact the Claims Administrator prior to filing; you will receive an automated e-mail confirming receipt once your Proof of Claim and Release Form has been submitted. If you are unsure if you should submit your claim as a Representative Filer, please contact the Claims Administrator at info@strategicclaims.net or (866) 274-4004. If you are not a Representative Filer, but your claim contains a large number of transactions, the Claims Administrator may request that you also submit an electronic spreadsheet showing your transactions to accompany your Proof of Claim and Release Form. Unless otherwise stated, all terms used in this Proof of Claim and Release shall have the same meanings as set forth in the Stipulation of Settlement filed with the Court on February 27, 2026 (the “Stipulation”). The Stipulation can be viewed at www.bioxcelsecuritiessettlement.com. ↩ CLAIMANT INFORMATION UNITED STATES DISTRICT COURT DISTRICT OF CONNECTICUT Hills et al. v. BioXcel Therapeutics, Inc., et al. Case No. 3:23-CV-915 PROOF OF CLAIM AND RELEASE FORM Must be Postmarked No Later Than June 30, 2026 The Claims Administrator will use this information for all communications regarding this Claim Form. If this information changes, you MUST notify the Claims Administrator in writing at info@strategicclaims.net. Complete names of all persons and entities must be provided.Beneficial Owner's Name(Required)Record Owner NameAddress(Required) Street Address Address Line 2 City State / Province / Region ZIP / Postal Code AfghanistanÅland IslandsAlbaniaAlgeriaAmerican SamoaAndorraAngolaAnguillaAntarcticaAntigua and BarbudaArgentinaArmeniaArubaAustraliaAustriaAzerbaijanBahamasBahrainBangladeshBarbadosBelarusBelgiumBelizeBeninBermudaBhutanBoliviaBonaire, Sint Eustatius and SabaBosnia and HerzegovinaBotswanaBouvet IslandBrazilBritish Indian Ocean TerritoryBrunei DarussalamBulgariaBurkina FasoBurundiCabo VerdeCambodiaCameroonCanadaCayman IslandsCentral African RepublicChadChileChinaChristmas IslandCocos IslandsColombiaComorosCongoCongo, Democratic Republic of theCook IslandsCosta RicaCôte d'IvoireCroatiaCubaCuraçaoCyprusCzechiaDenmarkDjiboutiDominicaDominican RepublicEcuadorEgyptEl SalvadorEquatorial GuineaEritreaEstoniaEswatiniEthiopiaFalkland IslandsFaroe IslandsFijiFinlandFranceFrench GuianaFrench PolynesiaFrench Southern TerritoriesGabonGambiaGeorgiaGermanyGhanaGibraltarGreeceGreenlandGrenadaGuadeloupeGuamGuatemalaGuernseyGuineaGuinea-BissauGuyanaHaitiHeard Island and McDonald IslandsHoly SeeHondurasHong KongHungaryIcelandIndiaIndonesiaIranIraqIrelandIsle of ManIsraelItalyJamaicaJapanJerseyJordanKazakhstanKenyaKiribatiKorea, Democratic People's Republic ofKorea, Republic ofKuwaitKyrgyzstanLao People's Democratic RepublicLatviaLebanonLesothoLiberiaLibyaLiechtensteinLithuaniaLuxembourgMacaoMadagascarMalawiMalaysiaMaldivesMaliMaltaMarshall IslandsMartiniqueMauritaniaMauritiusMayotteMexicoMicronesiaMoldovaMonacoMongoliaMontenegroMontserratMoroccoMozambiqueMyanmarNamibiaNauruNepalNetherlandsNew CaledoniaNew ZealandNicaraguaNigerNigeriaNiueNorfolk IslandNorth MacedoniaNorthern Mariana IslandsNorwayOmanPakistanPalauPalestine, State ofPanamaPapua New GuineaParaguayPeruPhilippinesPitcairnPolandPortugalPuerto RicoQatarRéunionRomaniaRussian FederationRwandaSaint BarthélemySaint Helena, Ascension and Tristan da CunhaSaint Kitts and NevisSaint LuciaSaint MartinSaint Pierre and MiquelonSaint Vincent and the GrenadinesSamoaSan MarinoSao Tome and PrincipeSaudi ArabiaSenegalSerbiaSeychellesSierra LeoneSingaporeSint MaartenSlovakiaSloveniaSolomon IslandsSomaliaSouth AfricaSouth Georgia and the South Sandwich IslandsSouth SudanSpainSri LankaSudanSurinameSvalbard and Jan MayenSwedenSwitzerlandSyria Arab RepublicTaiwanTajikistanTanzania, the United Republic ofThailandTimor-LesteTogoTokelauTongaTrinidad and TobagoTunisiaTürkiyeTurkmenistanTurks and Caicos IslandsTuvaluUgandaUkraineUnited Arab EmiratesUnited KingdomUnited StatesUruguayUS Minor Outlying IslandsUzbekistanVanuatuVenezuelaViet NamVirgin Islands, BritishVirgin Islands, U.S.Wallis and FutunaWestern SaharaYemenZambiaZimbabwe Country Day PhoneEvening PhoneEmail(Required) Enter Email Confirm Email Account InformationLast four digits of Social Security Number or Taxpayer Identification NumberClaimant Account Type (check appropriate box): Individual (includes joint owner accounts) Corporation IRA/401K Pension Plan Estate Trust Other SCHEDULE OF TRANSACTIONS IN BIOXCEL SECURITIESA. NUMBER OF SHARES OF BIOXCEL COMMON STOCK HELD AT THE CLOSE OF TRADING ON MARCH 8, 2023(Required)Number of SharesCost BssisB. Purchases of common stock prior to the close of trading on June 28, 2023:Transaction_TypeTrade Date Mo. Day YearNumber of Shares PurchasedPrice per ShareTotal Purchase Price Add RemoveC. Sales of common stock prior to the close of trading on June 28, 2023, inclusive:Transaction_TypeTrade Date Mo. Day YearNumber of Shares SoldPrice per ShareTotal Sale Price Add RemoveD. Number of shares of BioXcel common stock held at the close of trading on June 28, 2023:(Required)BALANCE CHECKBelow is a summary of the transactions you entered. Your Beginning Holdings plus Purchases/Acquisitions minus Sales and Ending Holdings should equal zero. Please correct any errors below to ensure that all transactions are accounted for.BEGINNING HOLDINGSTOTAL PURCHASESTOTAL SALESENDING HOLDINGSThis field is hidden when viewing the formThe Balance Check MUST equal zero to ensure all shares are accounted for. Please review.(Required)This field shows the number of shares that are outstanding based on what you have entered in the Beginning Holdings, Purchases/Acquisitions, Sales, and Ending Holdings fields. When all shares are accounted for, the balance in this field will be zero.Balance Check Error(Required)This field is hidden when viewing the formNumber DocumentationYou are required to attach proof as part of the online filing process. Please attach your files below.Upload Files(Required)If you have a large number of files, please consider uploading a ZIP file. Drop files here or Select files Accepted file types: pdf, jpg, jpeg, png, tiff, zip, xlsx, Max. file size: 80 MB. Acknowledgment(Required)You are required to attach proof as part of the online filing process. You may be ineligible if accurate broker trade confirmations/monthly statements are not provided. I agree to the terms and conditions.RELEASE AND DECLARATION(Required)YOU MUST READ AND SIGN THE RELEASE BELOW. FAILURE TO SIGN THE RELEASE MAY RESULT IN A DELAY IN PROCESSING OR THE REJECTION OF YOUR CLAIM. IV. SUBMISSION TO JURISDICTION OF COURT AND ACKNOWLEDGMENTS I (We) submit this Proof of Claim and Release Form under the terms of the Stipulation of Settlement, dated as of February 27, 2026 (“Stipulation”) described in the Notice. I (We) also submit to the jurisdiction of the United States District Court for the District of Connecticut with respect to my (our) claim as a Settlement Class Member(s) (as defined in the Notice) and for purposes of enforcing the release set forth herein. I (We) further acknowledge that I am (we are) bound by and subject to the terms of any judgment that may be entered in the Litigation. I (We) agree to furnish additional information to Lead Counsel to support this claim if required to do so. I (We) have not submitted any other claim covering the same purchases or sales of BioXcel securities during the Class Period and know of no other Person having done so on my (our) behalf. V. RELEASE AND DECLARATION 1. I (We) hereby acknowledge full and complete satisfaction of, and do hereby fully, finally and forever settle, release, relinquish and discharge all of the Released Plaintiffs’ Claims. 2. “Released Plaintiffs’ Claims” means all claims (including “Unknown Claims”), debts, disputes, demands, rights, actions or causes of action, liabilities, damages, losses, obligations, sums of money due, judgments, suits, amounts, matters, issues, and charges of any kind whatsoever (including, but not limited to, any claims for interest, attorneys’ fees, expert or consulting fees, and any other costs, expenses, amounts, or liabilities whatsoever), whether fixed or contingent, accrued or unaccrued, liquidated or unliquidated, at law or in equity, matured or unmatured, foreseen or unforeseen, whether individual or class in nature, whether arising under federal or state statutory or common law or any other law, rule, or regulation, whether foreign or domestic, that Plaintiffs or any other member of the Settlement Class: (i) (A) asserted in any of the complaints filed in the Litigation; or (B) could have asserted in the Litigation (or in any other action or in any other forum) that arise out of, are based upon, are related to any of the facts, allegations, transactions, matters, events, disclosures, nondisclosures, occurrences, representations, statements, acts or omissions, or failures to act that were involved, set forth, or referred to in any of the complaints filed in the Litigation, or that otherwise would have been barred by res judicata had the Litigation been fully litigated to a final judgment and (ii) that relate to the (A) the purchase or sale of BioXcel securities between March 9, 2023 through June 28, 2023, both dates inclusive; and (B) all claims alleged or that could have been alleged in the Litigation, including but not limited to any acts or omissions relating to disclosures, public filings, registration statements, press releases, presentations, or other statements made by the Settling Defendants. The foregoing release does not include claims relating to the enforcement of the Settlement (“Excluded Plaintiffs’ Claims”). 3. “Unknown Claims” means any and all Released Claims which Settling Plaintiffs, Plaintiffs’ Counsel, any Settlement Class Members, Settling Defendants, or Settling Defendants’ counsel do not know or suspect to exist in his, her, its, or their favor as of the Effective Date which, if known by him, her, it, or them might have affected his, her, its, or their decision(s) with respect to the Settlement. With respect to any and all Released Claims, the Settling Parties stipulate and agree that, upon the Effective Date, Settling Plaintiffs and the Settlement Class Members shall be deemed to have, and by operation of the Judgment shall have, expressly waived and relinquished the provisions, rights, and benefits conferred by or under California Civil Code § 1542, or any other law of the United States or any state or territory of the United States, or principle of common law that is similar, comparable, or equivalent to § 1542, which provides: A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS THAT THE CREDITOR OR RELEASING PARTY DOES NOT KNOW OR SUSPECT TO EXIST IN HIS OR HER FAVOR AT THE TIME OF EXECUTING THE RELEASE AND THAT, IF KNOWN BY HIM OR HER, WOULD HAVE MATERIALLY AFFECTED HIS OR HER SETTLEMENT WITH THE DEBTOR OR RELEASED PARTY. Settling Plaintiffs acknowledge that they may hereafter discover facts in addition to or different from those which they or their counsel now knows or believes to be true with respect to the subject matter of the Released Claims. Nevertheless, the Settling Plaintiffs shall expressly settle and release, and each Settlement Class Member, upon the Effective Date, shall be deemed to have, and by operation of the Judgment shall have, fully, finally, and forever settled and released any and all Released Plaintiffs’ Claims, known or unknown, suspected or unsuspected, contingent or non-contingent, whether or not concealed or hidden, which now exist, or heretofore have existed, upon any theory of law or equity now existing or coming into existence in the future, including, but not limited to, conduct which is negligent, reckless, intentional, with or without malice, or a breach of any duty, law, or rule, without regard to the subsequent discovery or existence of such different or additional facts. The Settling Parties acknowledge, and the Settlement Class Members shall be deemed by operation of the Judgment to have acknowledged, that the foregoing waiver was separately bargained for and is a key element of the Stipulation. 4. This release shall be of no force or effect unless and until the Court approves the Settlement set forth in the Stipulation and it becomes effective on the Effective Date. 5. I (We) hereby warrant and represent that I (we) have not assigned or transferred or purported to assign or transfer, voluntarily or involuntarily, any matter released pursuant to this release or any other part or portion thereof. 6. I (We) hereby warrant and represent that I (we) have included information about all of my (our) transactions in BioXcel securities that occurred during the Class Period, as necessary, and the number of BioXcel securities held by me (us) at the close of trading on March 8, 2023 and June 28, 2023. I Certify and DeclareSignature of Claimant(Required)Please type the name of Claimant. If this claim is being made on the behalf of joint claimants, then each must sign.Signature of Joint ClaimantPlease Type the name of the Joint ClaimantPerson Signing on Behalf of Claimant(Capacity of person(s) signing, e.g. beneficial purchaser(s), executor, administrator, trustee, etc.)
