Welcome to our dedicated page for BioXcel Therapeutics SEC filings (Ticker: BTAI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
BioXcel Therapeutics filings document regulatory, financing, governance, and operating disclosures for a Nasdaq-listed biopharmaceutical company focused on AI-supported drug re-innovation in neuroscience. The company’s Form 8-K reports include IGALMI regulatory updates, business and financial results, and exhibits tied to press releases and material corporate events.
The filing record also covers registered direct offerings, common stock, pre-funded warrants and accompanying warrants, credit agreement amendments, registration rights, unregistered equity issuances, and retention or milestone-based compensation arrangements. These disclosures describe BioXcel’s capital structure, contractual obligations, Nasdaq-listed common stock, and formal updates connected to its approved IGALMI product and BXCL501 development program.
BioXcel Therapeutics has amended its loan agreement with Oaktree to gain near-term flexibility on debt payments and liquidity covenants. Under the Tenth Amendment, accrued and unpaid interest through June 30, 2026 will be paid in kind and added to the loan principal. Principal that was due June 30, 2026 is deferred to July 31, 2026, when the company must pay $9,016,914.47 plus additional accrued interest and fees. The amendment also lowers the minimum liquidity covenant from $12.5 million to $7.5 million, and BioXcel agreed to a 1.00% fee on outstanding principal, also paid in kind and added to the loan balance.
BioXcel Therapeutics, Inc. officer Javier Rodriguez reported a small equity compensation event. On June 15, 2026, 35 Restricted Stock Units (RSUs) were converted into 35 shares of Common Stock at a reported price of $0.00 per share, reflecting a vesting-related derivative exercise rather than an open-market purchase.
After this transaction, Rodriguez directly holds 26,838 shares of Common Stock and 212 RSUs. The RSUs come from a grant of 562 RSUs awarded on March 15, 2023, which vests 25% after one year and 6.25% every three months thereafter, subject to continued employment.
BioXcel Therapeutics, Inc. Chief Financial Officer Richard I. Steinhart exercised derivative awards tied to company equity. On June 15, 2026, he acquired 35 shares of Common Stock upon conversion of Restricted Stock Units, bringing his direct Common Stock holdings to 26,335 shares. Following the transaction, he also directly held 212 Restricted Stock Units, each representing a contingent right to receive one share of Common Stock under a vesting schedule from a March 15, 2023 grant of 562 RSUs.
BioXcel Therapeutics, Inc. Chief Scientific Officer Frank Yocca exercised restricted stock units into common shares. On June 15, 2026, 35 RSUs converted into 35 shares of common stock at a stated price of $0.00 per share. Following the transaction, he directly holds 26,210 common shares and 212 RSUs from an original 562-unit grant awarded on March 15, 2023, which vests over time based on continued employment.
BioXcel Therapeutics, Inc. director and CEO Vimal Mehta reported updated equity holdings. On June 15, 2026, he exercised 219 Restricted Stock Units (RSUs) at $0.00 per unit, receiving the same number of common shares and bringing his direct common stock holdings to 69,817 shares.
Following this transaction, Mehta also reported holding 1,313 RSUs directly. The filing lists indirect ownership of 480,343 common shares held by BioXcel LLC and 125 common shares held by his spouse. A footnote explains these indirect positions and states that Mehta disclaims beneficial ownership except to the extent of his pecuniary interest.
BioXcel Therapeutics Chief Scientific Officer Frank Yocca reported routine equity compensation activity and a small tax-related sale. On May 4, 2026, he exercised 17,500 Restricted Stock Units (RSUs), receiving the same number of common shares at a conversion price of $0.00 per share. The RSUs are part of a 70,000-unit grant awarded on January 1, 2026, which vests in four installments over two years, contingent on continued employment. On May 20, 2026, he sold 6,845 common shares in an open-market transaction at a weighted average price of $1.085 per share, with individual trade prices ranging from $1.07 to $1.105. The filing notes this sale was made under a pre-arranged Rule 10b5-1 trading plan adopted on February 3, 2026 solely to cover taxes due from the RSU vesting. After these transactions, Yocca directly holds 26,175 common shares and 52,500 RSUs, indicating he retained most of the equity received from the recent vesting.
BioXcel Therapeutics, Inc. executive Javier Rodriguez reported RSU vesting and a small share sale linked to taxes. On May 4, 2026, he exercised 17,500 Restricted Stock Units into an equal number of Common Stock shares at a conversion price of $0.00 per share. A related derivative entry shows 52,500 RSUs remaining after this vesting.
On May 20, 2026, he sold 6,560 Common Stock shares in an open-market transaction at a weighted average price of $1.084 per share, with individual sale prices ranging from $1.07 to $1.09. According to the disclosure, this sale was made under a pre-arranged Rule 10b5-1 trading plan adopted on February 3, 2026 solely to cover taxes due from the RSU vesting. Following these transactions, he directly holds 26,803 shares of Common Stock.
BioXcel Therapeutics, Inc. Chief Financial Officer Richard Steinhart reported compensation-related share activity. On May 4, 2026, he exercised 17,500 Restricted Stock Units (RSUs), receiving the same number of common shares at a conversion price of $0.00 per share. These RSUs are part of a 70,000-unit grant made on January 1, 2026, which vests 25% six months after November 4, 2025 and the remaining 75% in three equal six‑month installments.
On May 20, 2026, Steinhart sold 6,845 common shares in open-market transactions at a weighted average price of $1.085 per share, within a range of $1.07 to $1.105. According to the disclosure, this sale was executed under a Rule 10b5-1 trading plan adopted on February 3, 2026 solely to cover taxes due from the RSU vesting. After the transactions, he directly owns 26,300 common shares and continues to hold 52,500 RSUs, indicating a remaining equity stake through both shares and unvested awards.
BioXcel Therapeutics, Inc. CEO and President Vimal Mehta reported an RSU vesting and a related stock sale. On May 4, 2026, he exercised 49,758 Restricted Stock Units, receiving the same number of common shares at a stated price of $0.00 per share.
On May 20, 2026, he sold 19,419 common shares in an open-market transaction at a weighted average price of about $1.087 per share, pursuant to a Rule 10b5-1 trading plan established solely to cover taxes from the RSU vesting. After this sale, he directly held 69,598 common shares.
The filing also notes indirect holdings of 480,343 common shares by BioXcel LLC and 125 common shares held by his spouse. A prior grant of 199,032 RSUs on January 1, 2026 vests over two years from a Vesting Commencement Date of November 4, 2025, with 149,274 RSUs remaining after the reported conversion.
BioXcel Therapeutics filed a Form 144 notice relating to Common Stock. The filing records the vesting of restricted stock unit awards of 19,419 shares on 05/04/2026. The record lists 30,877,605 shares outstanding as of 05/20/2026 and identifies NASDAQ as the exchange and Merrill Lynch as the broker location.