0001104659-24-044857.txt : 20240408
0001104659-24-044857.hdr.sgml : 20240408
20240408193007
ACCESSION NUMBER: 0001104659-24-044857
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240314
FILED AS OF DATE: 20240408
DATE AS OF CHANGE: 20240408
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Yocca Frank
CENTRAL INDEX KEY: 0001733272
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38410
FILM NUMBER: 24830829
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]
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
tm2411220-1_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-03-14
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
1
Common Stock
2024-03-14
4
M
0
521
A
11580
D
Common Stock
2024-03-15
4
M
0
2250
A
13830
D
Common Stock
2024-04-04
4
S
0
1067
2.635
D
12763
D
Restricted Stock Units
2024-03-14
4
M
0
521
0
D
Common Stock
521
4169
D
Restricted Stock Units
2024-03-15
4
M
0
2250
0
D
Common Stock
2250
6750
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 on December 14, 2023.
The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.61 to $2.66. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sole 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.
On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting 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 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.
2024-04-08