Javier Rodriguez - 14 Dec 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
Issuer symbol
BTAI
Transactions as of
14 Dec 2023
Net transactions value
$0
Form type
4
Filing time
18 Dec 2023, 16:54:43 UTC
Previous filing
18 Sep 2023
Next filing
08 Apr 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BTAI Common Stock Options Exercise +521 +9.7% 5,913 14 Dec 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 -10% $0.000000 4,690 14 Dec 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