0001104659-24-073004.txt : 20240618 0001104659-24-073004.hdr.sgml : 20240618 20240618212709 ACCESSION NUMBER: 0001104659-24-073004 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: Yocca Frank CENTRAL INDEX KEY: 0001733272 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38410 FILM NUMBER: 241053847 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 tm2417544-7_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-06-14 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 1 Common Stock 2024-06-14 4 M 0 521 A 13284 D Common Stock 2024-06-15 4 M 0 562 A 13846 D Common Stock 2024-06-17 4 S 0 372 1.2800 D 13474 D Restricted Stock Units 2024-06-14 4 M 0 521 0 D Common Stock 521 3648 D Restricted Stock Units 2024-06-15 4 M 0 562 0 D Common Stock 562 6188 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. 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 9,000 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. 2024-06-18