0001104659-23-033402.txt : 20230316
0001104659-23-033402.hdr.sgml : 20230316
20230316175944
ACCESSION NUMBER: 0001104659-23-033402
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230314
FILED AS OF DATE: 20230316
DATE AS OF CHANGE: 20230316
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: O'Neill Vincent
CENTRAL INDEX KEY: 0001672718
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38410
FILM NUMBER: 23740059
MAIL ADDRESS:
STREET 1: 2150 WOODWARD ST., SUITE 100
CITY: AUSTIN
STATE: TX
ZIP: 78744
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BioXcel Therapeutics, Inc.
CENTRAL INDEX KEY: 0001720893
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
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
tm239796-3_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2023-03-14
0
0001720893
BioXcel Therapeutics, Inc.
BTAI
0001672718
O'Neill Vincent
C/O BIOXCEL THERAPEUTICS, INC.
555 LONG WHARF DRIVE, 12TH FLOOR
NEW HAVEN
CT
06511
0
1
0
0
Chief Medical Officer
Common Stock
2023-03-14
4
M
0
2084
A
2084
D
Common Stock
2023-03-15
4
S
0
845
19.695
D
1239
D
Restricted Stock Units
2023-03-14
4
M
0
2084
0
D
Common Stock
2084
6253
D
Restricted Stock Units
2023-03-15
4
A
0
9000
0
A
Common Stock
9000
9000
D
Stock Option (Right to Buy)
19.60
2023-03-15
4
A
0
32000
0
A
2033-03-15
Common Stock
32000
32000
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 by the Reporting Person on June 23, 2022.
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.
The RSUs will vest and settle 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 Restricted Stock Units 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.
The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 15, 2023 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.
/s/ Javier Rodriguez, as Attorney-in-Fact for Vincent O'Neill
2022-03-16