Frank Yocca - Mar 14, 2025 Form 4 Insider Report for BioXcel Therapeutics, Inc. (BTAI)

Role
Chief Scientific Officer
Signature
/s/ Richard Steinhart, as Attorney-in-Fact for Frank Yocca, Ph.D
Stock symbol
BTAI
Transactions as of
Mar 14, 2025
Transactions value $
$0
Form type
4
Date filed
3/17/2025, 06:36 PM
Previous filing
Jan 10, 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BTAI Common Stock Options Exercise +31 +1.71% 1.84K Mar 14, 2025 Direct F1
transaction BTAI Common Stock Options Exercise +34 +1.85% 1.87K Mar 15, 2025 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BTAI Restricted Stock Units Options Exercise $0 -31 -11.92% $0.00 229 Mar 14, 2025 Common Stock 31 Direct F1, F2
transaction BTAI Restricted Stock Units Options Exercise $0 -34 -8.08% $0.00 387 Mar 15, 2025 Common Stock 34 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
F2 On March 14, 2022, the Reporting Person was granted 521 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
F3 On March 15, 2023, the Reporting Person was granted 562 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.