Michal Votruba - 11 Jun 2021 Form 4 Insider Report for BioXcel Therapeutics, Inc. (BTAI)

Role
Director
Signature
/s/ Richard I. Steinhart, Attorney-in-Fact for Michal Votruba
Issuer symbol
BTAI
Transactions as of
11 Jun 2021
Net transactions value
$0
Form type
4
Filing time
15 Jun 2021, 17:36:45 UTC
Next filing
23 May 2022
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BTAI Stock Option (Right to Buy) Award $0 +14,500 $0.000000 14,500 11 Jun 2021 Common Stock 14,500 $37.86 Direct F1, F2
transaction BTAI Stock Option (Right to Buy) Other $0 -14,500 -100% $0.000000* 0 11 Jun 2021 Common Stock 14,500 $37.86 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Reporting Person immediately and automatically assigned these stock options to RSJ Investments SICAV a.s. acting in respect of its sub-fund RSJ Gradus podfund ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person does not beneficially own any of the securities reported herein.
F2 The option will vest in full and become exercisable on the earlier of the first anniversary of the grant date or the day immediately prior to the date of the next BioXcel Therapeutics, Inc. annual meeting of stockholders, subject to the Reporting Person's continued service through such vesting date.

Remarks:

Exhibit List - Exhibit 24 - Power of Attorney