Every Form 4 that BioXcel Therapeutics, Inc. (BTAI) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow BTAI and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full BTAI filings page.
BioXcel Therapeutics, Inc. reported that director Susan E. Atkins received a grant of stock options for 17,000 shares of common stock on August 12, 2026. The options carry an exercise price of $1.06 per share and expire on August 12, 2036. One-third of the options vest on the first anniversary of the grant date, with the remaining two-thirds vesting in equal annual installments on the second and third anniversaries, contingent on her continued service with the company.
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, Inc. director and CEO Vimal Mehta reported equity changes related to previously granted restricted stock units. He exercised 18,000 Restricted Stock Units into 18,000 shares of Common Stock at a stated price of $0.0000 per share, increasing his direct Common Stock holdings to 39,259 shares.
The filing also shows indirect ownership of 480,343 Common Stock shares held by BioXcel LLC and 125 shares held by his spouse. A prior grant of 18,000 RSUs on August 1, 2025 was scheduled to vest in full within 30 days of nine months from that grant date, subject to continued employment.
BioXcel Therapeutics, Inc. Chief Financial Officer Richard I. Steinhart exercised 9,000 Restricted Stock Units into Common Stock. The RSUs, each representing one share of common stock, were granted on August 1, 2025 and vested in full approximately nine months after the grant date, contingent on continued employment. Following this compensation-related conversion, Steinhart directly holds 15,645 shares of BioXcel Therapeutics common stock.
BioXcel Therapeutics, Inc. Chief Scientific Officer Frank Yocca exercised 9,000 Restricted Stock Units into shares of Common Stock on May 1, 2026. The RSUs were granted on August 1, 2025 and represented a right to receive one share of common stock per unit.
Following this vesting and conversion, Yocca directly holds 15,520 shares of BioXcel common stock. The RSU award vested in full approximately nine months after the grant date, contingent on his continued employment with the company.
BioXcel Therapeutics, Inc. officer Javier Rodriguez exercised 9,000 Restricted Stock Units into Common Stock on May 1, 2026. Each RSU converted into one share at a price of $0.00 per share, increasing his direct holdings to 15,863 Common Stock shares.
The 9,000 RSUs were granted on August 1, 2025 and were scheduled to vest in full approximately nine months after the grant date, contingent on continued employment. Following this vesting and conversion, no RSUs from this grant remain outstanding.
BioXcel Therapeutics, Inc. CEO and President Vimal Mehta exercised restricted stock units into common shares in routine compensation-related transactions. On March 14 and March 15, 2026, he exercised a total of 383 RSUs at $0.00 per unit, receiving 383 shares of common stock.
After these exercises, Mehta directly owns 21,259 shares of common stock and holds remaining RSUs of 1,532 and 488 units from prior grants. The filing also shows indirect common stock holdings of 125 shares held by his spouse and 480,343 shares held of record by BioXcel LLC, a subsidiary of BioXcel Holdings, Inc., with detailed beneficial ownership and pecuniary interest disclaimers.
BioXcel Therapeutics, Inc. Chief Financial Officer Richard Steinhart increased his equity stake through routine RSU vesting and exercises. On March 14 and 15, 2026, he exercised Restricted Stock Units that delivered a total of 68 shares of Common Stock at an exercise price of $0.00 per share. Following these transactions, he directly holds 6,645 shares of Common Stock. The filings also show remaining unexercised RSU balances of 247 units from a March 15, 2023 grant and 97 units from a March 14, 2022 grant, each RSU representing the right to receive one share of Common Stock as vesting continues.
BioXcel Therapeutics, Inc. officer Javier Rodriguez reported routine equity compensation activity involving restricted stock units (RSUs). On March 14 and 15, he exercised a total of 68 RSUs for 68 shares of Common Stock at $0.00 per share, reflecting vesting of prior grants.
Following these transactions, Rodriguez directly holds 6,863 shares of Common Stock and remaining RSU balances of 97 and 247 units as shown in the filing. Footnotes explain that RSU grants of 521 units in 2022 and 562 units in 2023 vest 25% after one year and 6.25% quarterly thereafter, subject to continued employment.
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.
BioXcel Therapeutics, Inc. reported a new stock option grant to director Sandeep Laumas. On 01/09/2026, he received a stock option for 17,000 shares of common stock at an exercise price of $2.01 per share, expiring on 01/09/2036. The option was granted at no cost to him and is reported as directly owned, with 17,000 derivative securities beneficially owned after the transaction.
The option will vest and become exercisable on the earlier of the first anniversary of the grant date or the day immediately prior to the next annual meeting of stockholders after the grant date, provided he continues to serve as a non-employee director through that vesting date.
BioXcel Therapeutics director Rajiv Patni received a grant of 17,000 stock options on January 9, 2026. The options have an exercise price of $2.01 per share and give the right to purchase 17,000 shares of BioXcel Therapeutics common stock.
These options were reported as acquired at a price of $0 for the derivative itself, with 17,000 derivative securities beneficially owned after the transaction, all held directly. The options expire on January 9, 2036 and will vest on the earlier of the first anniversary of the grant date or the day immediately prior to the next annual meeting of stockholders, subject to Patni continuing to serve as a non-employee director through that vesting date.
BioXcel Therapeutics, Inc. granted director Peter Mueller a new stock option award. On 01/09/2026, he received an option to buy 17,000 shares of BioXcel common stock at an exercise price of $2.01 per share, expiring on 01/09/2036. The option was granted at a price of $0 for the derivative itself and is held directly by Mueller.
The option will vest and become exercisable on the earlier of the first anniversary of the grant date or the day immediately before the next annual meeting of stockholders after the grant date, as long as Mueller continues to serve as a non-employee director through that vesting date. Following this grant, he beneficially owns 17,000 stock options.
BioXcel Therapeutics director Michal Votruba received a grant of 17,000 stock options on January 9, 2026. These options give the right to purchase 17,000 shares of BioXcel Therapeutics common stock and expire on January 9, 2036. The grant is structured so that the options vest and become exercisable on the earlier of the first anniversary of the grant date or the day immediately prior to the next annual meeting of stockholders after the grant date, provided Votruba continues to serve as a non-employee director through that vesting date. After this grant, Votruba beneficially owns 17,000 derivative securities in the form of these options, held directly.
BioXcel Therapeutics director receives stock option grant
BioXcel Therapeutics, Inc. reported that director Michael Patrick Miller received a stock option award for 17,000 shares of common stock on 01/09/2026. The option has an exercise price of $2.01 per share and is held directly.
According to the vesting terms, the option will become exercisable on the earlier of the first anniversary of the grant date or the day immediately prior to the next annual meeting of stockholders after the grant date, provided he continues to serve as a non-employee director through the vesting date. Following this grant, Miller beneficially owns 17,000 stock options.
BioXcel Therapeutics director June Bray reported a grant of 17,000 stock options. The options give her the right to buy 17,000 shares of BioXcel Therapeutics common stock at an exercise price of $2.01 per share, based on a grant dated January 9, 2026. Following this award, she beneficially owns 17,000 derivative securities in the form of these options, held directly.
According to the vesting terms, the option will become exercisable on the earlier of the first anniversary of the grant date or the day immediately before the next annual meeting of stockholders after the grant date, as long as she continues to serve as a non-employee director through that vesting date.
BioXcel Therapeutics director David J. Mack received a grant of 17,000 stock options on January 9, 2026. These options give him the right to buy BioXcel common stock at an exercise price of $2.01 per share. The filing shows this as a direct holding and lists 17,000 derivative securities beneficially owned after the grant. According to the vesting terms, the options will become exercisable on the earlier of the first anniversary of the grant date or the day immediately prior to the next annual meeting of stockholders after the grant, as long as he continues serving as a non-employee director through that vesting date.
BioXcel Therapeutics, Inc. CEO and President Vimal Mehta reported the vesting and settlement of restricted stock units into common stock. On December 14, 2025, 164 RSUs converted into 164 shares of common stock, and on December 15, 2025, 219 RSUs converted into 219 shares. Each RSU represents a contingent right to receive one share of common stock.
After these transactions, Mehta directly beneficially owned 20,876 shares of BioXcel Therapeutics common stock. In addition, 125 shares are held indirectly by his spouse and 480,343 shares are held indirectly by BioXcel LLC, an affiliate where he holds executive and board roles, with beneficial ownership of those securities disclaimed except to the extent of his pecuniary interest.
BioXcel Therapeutics, Inc. reported that its Chief Financial Officer, Richard Steinhart, acquired additional common shares through the vesting and settlement of restricted stock units (RSUs). On 12/14/2025, 33 RSUs converted into 33 shares of common stock, and on 12/15/2025, 35 RSUs converted into 35 shares of common stock, both reported as acquisitions.
Following these transactions, he directly beneficially owned 6,577 shares of BioXcel common stock. The filing notes RSU awards originally granted on March 14, 2022 for 521 RSUs and on March 15, 2023 for 562 RSUs, each vesting 25% on the first anniversary of the grant date and 6.25% at the end of each successive three-month period thereafter, subject to continued employment. After the reported conversions, he continues to hold 130 and 282 RSUs, respectively.
BioXcel Therapeutics officer Javier Rodriguez reported equity award transactions involving the company’s common stock. On December 14, 2025 and December 15, 2025, restricted stock units were converted into 33 and 35 shares of common stock, respectively, at an exercise price of $0 per share. Following these transactions, he directly beneficially owned 6,760 and then 6,795 common shares.
The activity reflects vesting of restricted stock units originally granted on March 14, 2022 and March 15, 2023. Those grants covered 521 and 562 RSUs, vesting 25% on the first anniversary of each grant date and 6.25% at the end of each successive three‑month period, contingent on continuous employment. After the reported December 2025 conversions, he continued to beneficially own 130 and 282 RSUs, each RSU representing the right to receive one share of common stock.
BioXcel Therapeutics Chief Scientific Officer Frank Yocca reported routine equity compensation activity. On 12/14/2025 and 12/15/2025, previously granted restricted stock units vested and he acquired 33 and 35 shares of BioXcel common stock at no cash cost, increasing his directly held stake to 6,417 shares and then 6,452 shares.
The vested shares came from RSU awards originally granted on March 14, 2022 for 521 RSUs and March 15, 2023 for 562 RSUs, which vest over time as long as he remains employed. Following these transactions, he continued to beneficially own 130 RSUs from the 2022 grant and 282 RSUs from the 2023 grant, each representing a contingent right to receive one share of common stock.
BioXcel Therapeutics (BTAI) director David J. Mack reported the vesting and settlement of 1,694 shares of Common Stock on 10/31/2025 from previously granted RSUs. Following the transaction, he beneficially owned 20,317 shares, held directly.
The RSUs were part of a grant made on November 21, 2024, totaling 20,317 RSUs, scheduled to vest in twelve equal monthly installments beginning November 30, 2024, subject to continued service as a Director.