0001104659-24-044857.txt : 20240408 0001104659-24-044857.hdr.sgml : 20240408 20240408193007 ACCESSION NUMBER: 0001104659-24-044857 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240314 FILED AS OF DATE: 20240408 DATE AS OF CHANGE: 20240408 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Yocca Frank CENTRAL INDEX KEY: 0001733272 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38410 FILM NUMBER: 24830829 MAIL ADDRESS: STREET 1: 780 EAST MAIN STREET STREET 2: C/O BIOXCEL THERAPEUTICS, INC. CITY: BRANFORD STATE: CT ZIP: 06405 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BioXcel Therapeutics, Inc. CENTRAL INDEX KEY: 0001720893 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 821386754 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 555 LONG WHARF DRIVE CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 203-643-8060 MAIL ADDRESS: STREET 1: 555 LONG WHARF DRIVE CITY: NEW HAVEN STATE: CT ZIP: 06511 4 1 tm2411220-1_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-03-14 0 0001720893 BioXcel Therapeutics, Inc. BTAI 0001733272 Yocca Frank C/O BIOXCEL THERAPEUTICS, INC. 555 LONG WHARF DRIVE, 12TH FLOOR NEW HAVEN CT 06511 0 1 0 0 Chief Scientific Officer 1 Common Stock 2024-03-14 4 M 0 521 A 11580 D Common Stock 2024-03-15 4 M 0 2250 A 13830 D Common Stock 2024-04-04 4 S 0 1067 2.635 D 12763 D Restricted Stock Units 2024-03-14 4 M 0 521 0 D Common Stock 521 4169 D Restricted Stock Units 2024-03-15 4 M 0 2250 0 D Common Stock 2250 6750 D Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on December 14, 2023. The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.61 to $2.66. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sole at each separate price within the range set forth in this footnote. On March 14, 2022, the Reporting Person was granted 8,337 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. On March 15, 2023, the Reporting Person was granted 56,000 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. /s/ Richard Steinhart, as Attorney-in-Fact for Frank Yocca, Ph.D. 2024-04-08