BioXcel Therapeutics files Rule 144 notice for 6,845 shares

BioXcel Therapeutics, Inc. submitted a Rule 144 notice to sell 6,845 shares of Common Stock related to restricted stock units that vested on 05/04/2026.

Rhea-AI Filing Summary

BioXcel Therapeutics, Inc. submitted a Rule 144 notice to sell 6,845 shares of Common Stock related to restricted stock units that vested on 05/04/2026.

The filing lists 30,877,605 shares outstanding as of 05/20/2026 and identifies the sale as tied to the vesting of RSU awards granted under the issuer's equity compensation plan.

Insights

Securities Compliance Counsel

Rule 144 notice for vested RSUs; routine compliance filing.

The filing reports a proposed sale of 6,845 shares under Rule 144 following the vesting of restricted stock units on 05/04/2026. It documents the source of shares as issuer compensation and supplies an outstanding share count for context.

Timing and sale mechanics are not specified in the excerpt; subsequent Form 4 or a broker report would show execution details if applicable. Review of transfer restrictions and holding-period requirements in company disclosures applies before any sale.

Key Figures

Shares proposed for sale: 6,845 shares Shares outstanding: 30,877,605 shares Security type: Common Stock

3 metrics

Shares proposed for sale 6,845 shares Vesting of restricted stock units on 05/04/2026

Shares outstanding 30,877,605 shares as of 05/20/2026

Security type Common Stock Identified in Rule 144 notice

Key Terms

restricted stock unit (RSU), Rule 144, shares outstanding

3 terms

restricted stock unit (RSU) financial

"Vesting of restricted stock unit awards (05/04/2026)"

A restricted stock unit (RSU) is a promise from a company to give an employee company shares (or cash equal to their value) at a future date if certain conditions are met, such as staying with the company or hitting performance targets. For investors, RSUs matter because when they convert into actual shares they increase the number of shares available and can create selling pressure as employees cash out—think of them as a future paycheck paid in company stock.

Rule 144 regulatory

"submitted a Rule 144 notice to sell 6,845 shares"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

shares outstanding market

"30877605 | 05/20/2026"

Shares outstanding are the total number of a company’s stock units held by all shareholders, including institutional investors and company insiders — think of them as the total number of slices of the company’s ownership pie. Investors use this number to calculate how much of the company each share represents, and it directly affects per-share measures like earnings per share, ownership percentage and valuation; when the slice count changes, an investor’s claim and the company’s per-share metrics change too.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does BioXcel Therapeutics (BTAI) report in this Rule 144 filing?

It reports a proposed sale of 6,845 shares of Common Stock following RSU vesting on 05/04/2026. The filing ties the shares to issuer equity compensation and lists an outstanding share count for context.

Are the shares in the filing from compensation or open-market holdings for BTAI?

The shares are from compensation: they arose from the vesting of restricted stock units on 05/04/2026. The filing explicitly states the shares were granted under the issuer's equity compensation plan.

How many shares does the Rule 144 notice cover for BTAI and when did vesting occur?

The notice covers 6,845 shares, with vesting recorded on 05/04/2026. The filing identifies the event as the vesting of restricted stock unit awards.

What baseline share count does the filing show for BTAI?

The excerpt lists 30,877,605 shares outstanding as of 05/20/2026. That figure is provided in the filing text as a context datum and is tied to the specified date.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/20/2026 - 04:26 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001733272
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	BioXcel Therapeutics, Inc.
SEC File Number	001-38410
Address of Issuer	555 LONG WHARF DRIVE NEW HAVEN CONNECTICUT 06511
Phone	203-643-8060
Name of Person for Whose Account the Securities are To Be Sold	Yocca Frank
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	Merrill Lynch 225 Liberty Street Floor 37 New York NY 10281	6845	7430.23	30877605	05/20/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	05/04/2026	Vesting of restricted stock unit awards	BioXcel Therapeutics, Inc.			6845	05/04/2026	Granted as part of issuer equity compensation plan

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	05/20/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	02/03/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Frank Yocca
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)