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BioXcel Therapeutics (BTAI) CSO converts 35 RSUs, now holds 26,210 shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

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.

Positive

  • None.

Negative

  • None.
Insider Yocca Frank
Role Chief Scientific Officer
Type Security Shares Price Value
Exercise Restricted Stock Units 35 $0.00 --
Exercise Common Stock 35 $0.00 --
Holdings After Transaction: Restricted Stock Units — 212 shares (Direct, null); Common Stock — 26,210 shares (Direct, null)
Footnotes (1)
  1. Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. On March 15, 2023, the Reporting Person was granted 562 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 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.
RSUs exercised 35 units Converted into 35 common shares on June 15, 2026
Shares held after transaction 26,210 shares Common stock directly owned by Frank Yocca
RSUs remaining 212 units Restricted stock units held after June 15, 2026
Original RSU grant 562 units Granted on March 15, 2023
Vesting first tranche 25% Vests on first anniversary of March 15, 2023
Ongoing vesting rate 6.25% At end of each successive three-month period thereafter
Reported exercise price $0.00 per share For RSU conversion into common stock
Restricted Stock Unit ("RSU") financial
"Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share"
derivative security financial
"transaction_code_description: Exercise or conversion of derivative security"
A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.
vesting financial
"vesting as to 25% of the total number of RSUs on the first anniversary"
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
continuous employment financial
"subject to the Reporting Person's continuous employment with the Issuer"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Yocca Frank
(Last)(First)(Middle)
C/O BIOXCEL THERAPEUTICS, INC.
555 LONG WHARF DRIVE, 12TH FLOOR
(Street)
NEW HAVEN CONNECTICUT 06511
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
BioXcel Therapeutics, Inc. [ BTAI ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Scientific Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/15/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock06/15/2026M35A(1)26,210D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(1)06/15/2026M35 (2) (2)Common Stock35$0212D
Explanation of Responses:
1. Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
2. On March 15, 2023, the Reporting Person was granted 562 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 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.
/s/ Richard Steinhart, as Attorney-in-Fact for Frank Yocca, Ph.D06/17/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did BioXcel Therapeutics (BTAI) report for Frank Yocca?

BioXcel Therapeutics reported that Chief Scientific Officer Frank Yocca exercised 35 restricted stock units into 35 common shares on June 15, 2026. This reflects the scheduled vesting and conversion of previously granted equity compensation rather than an open-market stock purchase or sale.

How many BioXcel Therapeutics (BTAI) shares does Frank Yocca hold after this Form 4?

After the June 15, 2026 transaction, Frank Yocca directly holds 26,210 shares of BioXcel Therapeutics common stock. He also retains 212 restricted stock units that may convert into additional shares in the future according to the original vesting schedule tied to his employment.

What were the terms of Frank Yocca’s RSU grant at BioXcel Therapeutics (BTAI)?

On March 15, 2023, Frank Yocca was granted 562 restricted stock units. Twenty-five percent vest on the first anniversary of March 15, 2023, and 6.25% vest at the end of each successive three-month period, contingent on his continued employment with BioXcel Therapeutics.

Was the BioXcel Therapeutics (BTAI) Form 4 a stock sale by Frank Yocca?

No, the Form 4 shows an exercise of derivative securities, not a sale. Thirty-five restricted stock units converted into 35 common shares, with no reported open-market selling, reflecting routine equity compensation vesting rather than a discretionary disposal of existing holdings.

How many restricted stock units does Frank Yocca still hold at BioXcel Therapeutics (BTAI)?

Following the June 15, 2026 conversion of 35 units, Frank Yocca holds 212 restricted stock units. These remaining RSUs represent potential future common shares, subject to the original vesting terms and his continued employment with BioXcel Therapeutics over the defined schedule.