BioXcel Therapeutics (BTAI) CSO converts 68 RSUs into 6,520-share holding

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

BioXcel Therapeutics Chief Scientific Officer Frank Yocca exercised restricted stock units into common shares in routine compensation-related transactions. On March 14 and 15, 2026, he converted a total of 68 RSUs into 68 shares of common stock at $0.00 per share. Following these conversions, he directly holds 6,520 shares of common stock, along with remaining RSU balances from prior grants made in March 2022 (521 RSUs) and March 2023 (562 RSUs) that continue to vest over time, subject to ongoing employment.

Insider Trade Summary

68 shares exercised/converted

Mixed 4 txns

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	--
Exercise	Restricted Stock Units	33	$0.00	--
Exercise	Common Stock	33	$0.00	--

Holdings After Transaction: Restricted Stock Units — 247 shares (Direct); Common Stock — 6,520 shares (Direct)

Footnotes (1)

Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. On March 14, 2022, the Reporting Person was granted 521 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. 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.

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Form 4 Insider Transactions: What Each Field Means →

03/16/2026 - 08:01 PM

SEC Form 4

FORM 4

UNITED 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

06511

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
BioXcel Therapeutics, Inc. [ BTAI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Scientific Officer

3. Date of Earliest Transaction (Month/Day/Year)
03/14/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	03/14/2026		M		33	A	⁽¹⁾	6,485	D
Common Stock	03/15/2026		M		35	A	⁽¹⁾	6,520	D

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽¹⁾	03/14/2026		M			33	⁽²⁾	⁽²⁾	Common Stock	33	$0	97	D
Restricted Stock Units	⁽¹⁾	03/15/2026		M			35	⁽³⁾	⁽³⁾	Common Stock	35	$0	247	D

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 14, 2022, the Reporting Person was granted 521 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.

3. 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.D	03/16/2026
	** Signature of Reporting Person	Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

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

BioXcel Therapeutics reported that Chief Scientific Officer Frank Yocca exercised restricted stock units into common shares. He converted 68 RSUs into 68 shares of common stock at $0.00 per share in routine, compensation-related transactions tied to prior RSU grants.

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

After the reported transactions, Frank Yocca directly holds 6,520 shares of BioXcel Therapeutics common stock. This figure reflects the addition of 68 shares received from RSU conversions on March 14 and 15, 2026, as shown in the Form 4 filing.

What type of securities did Frank Yocca exercise in the latest BTAI Form 4?

The transactions involved restricted stock units that convert into common stock. Each RSU represents a contingent right to receive one share, and Yocca exercised 68 RSUs in total, receiving 68 common shares at a conversion price of $0.00 per share in these events.

Are Frank Yocca’s BTAI Form 4 transactions open-market purchases or sales?

The reported transactions are not open-market purchases or sales. They are coded as “M” transactions, reflecting the exercise or conversion of derivative securities (restricted stock units) into common stock at $0.00 per share as part of his equity compensation.

What are the vesting terms of Frank Yocca’s RSU grants at BioXcel Therapeutics (BTAI)?

Yocca received 521 RSUs on March 14, 2022, and 562 RSUs on March 15, 2023. Each grant vests 25% on the first anniversary of the grant date, then 6.25% every three months, contingent on his continuous employment with BioXcel Therapeutics.

How many RSUs did Frank Yocca exercise in this BTAI Form 4 filing?

He exercised a total of 68 restricted stock units across two days. On March 14, 2026, he converted 33 RSUs into 33 common shares, and on March 15, 2026, he converted 35 RSUs into 35 common shares, all at a $0.00 conversion price.