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