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