0001104659-24-073000.txt : 20240618 0001104659-24-073000.hdr.sgml : 20240618 20240618212511 ACCESSION NUMBER: 0001104659-24-073000 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240614 FILED AS OF DATE: 20240618 DATE AS OF CHANGE: 20240618 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Neill Vincent CENTRAL INDEX KEY: 0001672718 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38410 FILM NUMBER: 241053836 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] 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 tm2417544-2_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-06-14 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 See Remarks 1 Common Stock 2024-06-14 4 M 0 521 A 3679 D Common Stock 2024-06-17 4 S 0 155 1.285 D 3524 D Restricted Stock Units 2024-06-14 4 M 0 521 0.00 D Common Stock 521 3648 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 December 15, 2023. 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. Executive Vice President, Chief of Product Development and Medical Officer /s/ Richard Steinhart, as Attorney in Fact for Vincent O'Neill 2024-06-18