Frank Yocca - Jun 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
Jun 14, 2025
Transactions value $
$0
Form type
4
Date filed
6/16/2025, 07:02 PM
Previous filing
Mar 17, 2025
Next filing
Jul 22, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Yocca Frank Chief Scientific Officer C/O BIOXCEL THERAPEUTICS, INC., 555 LONG WHARF DRIVE, 12TH FLOOR, NEW HAVEN /s/ Richard Steinhart, as Attorney-in-Fact for Frank Yocca, Ph.D. 2025-06-16 0001733272

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BTAI Common Stock Options Exercise +33 +1.76% 1.91K Jun 14, 2025 Direct F1
transaction BTAI Common Stock Options Exercise +35 +1.84% 1.94K Jun 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 -33 -14.41% $0.00 196 Jun 14, 2025 Common Stock 33 Direct F1, F2
transaction BTAI Restricted Stock Units Options Exercise $0 -35 -9.04% $0.00 352 Jun 15, 2025 Common Stock 35 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.