Javier Rodriguez - Sep 14, 2023 Form 4 Insider Report for BioXcel Therapeutics, Inc. (BTAI)

Role
Chief Legal Officer, Senior Vice President and Corporate Secretary
Signature
/s/ Richard Steinhart, as Attorney in Fact for Javier Rodriguez
Stock symbol
BTAI
Transactions as of
Sep 14, 2023
Transactions value $
$0
Form type
4
Date filed
9/18/2023, 04:48 PM
Previous filing
Jun 16, 2023
Next filing
Dec 18, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BTAI Common Stock Options Exercise +521 +10.7% 5.39K Sep 14, 2023 Direct F1

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 Restricted Stock Units Options Exercise $0 -521 -9.09% $0.00 5.21K Sep 14, 2023 Common Stock 521 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
F2 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.

Remarks:

Chief Legal Officer, Senior Vice President and Corporate Secretary