0001104659-23-072398.txt : 20230616 0001104659-23-072398.hdr.sgml : 20230616 20230616184432 ACCESSION NUMBER: 0001104659-23-072398 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230614 FILED AS OF DATE: 20230616 DATE AS OF CHANGE: 20230616 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: 231022779 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 tm2319006-4_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-14 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 0 Common Stock 2023-06-14 4 M 0 521 A 10017 D Restricted Stock Units 2023-06-14 4 M 0 521 0 D Common Stock 521 5732 D Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. 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. /s/ Richard Steinhart, as Attorney-in-Fact for Frank Yocca, Ph.D. 2023-06-16