0001104659-23-033406.txt : 20230316 0001104659-23-033406.hdr.sgml : 20230316 20230316180120 ACCESSION NUMBER: 0001104659-23-033406 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: Yocca Frank CENTRAL INDEX KEY: 0001733272 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38410 FILM NUMBER: 23740069 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] 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 tm239796-5_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-03-14 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 Common Stock 2023-03-14 4 M 0 2084 A 10481 D Common Stock 2023-03-15 4 S 0 985 19.6911 D 9496 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. This price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.6901 to 19.70. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold 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. 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 Frank Yocca, Ph.D. 2023-03-16