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 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. reported that Mark Pavao is joining the company as Interim Chief Commercial Officer, effective around January 12, 2026. His role is to support the potential launch of IGALMI in the at-home setting.
The company plans to submit a supplemental New Drug Application (sNDA) this month seeking FDA approval for IGALMI for at-home use in the acute treatment of agitation associated with bipolar disorders or schizophrenia. The filing also reiterates that these plans are forward-looking and subject to various risks and uncertainties.
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, Inc. reported results of its annual stockholder meeting. A total of 9,726,849 shares of common stock were represented, about 44.68% of shares outstanding as of October 31, 2025.
Stockholders elected three Class I directors, June Bray, Sandeep Laumas, M.D., and David Mack, and ratified Ernst & Young LLP as independent auditor for 2025. They also approved, on an advisory basis, the compensation of the company’s named executive officers.
Stockholders approved an amendment to the certificate of incorporation authorizing the board, within 12 months and if deemed necessary to regain compliance with Nasdaq Capital Market minimum bid price requirements, to implement a reverse stock split at a ratio between 1-for-2 and 1-for-20. An adjournment proposal related to this amendment was approved but ultimately not used.
BioXcel Therapeutics (BTAI) called a virtual annual meeting for December 12, 2025 at 9:00 a.m. ET. Stockholders will vote to elect three Class I directors (June Bray, Sandeep Laumas, M.D., and David Mack), ratify Ernst & Young LLP as auditor for 2025, and approve an advisory Say‑on‑Pay resolution.
The agenda also seeks authority to implement, within 12 months and only if the Board deems it necessary to regain Nasdaq minimum bid price compliance, a reverse stock split at a ratio to be selected by the Board within an approved range, plus approval to adjourn the meeting if more time is needed to secure votes on the reverse split. The company states it is currently in compliance and is proposing this as a precautionary measure.
Holders of record at the close of business on October 31, 2025 may vote. 21,765,678 shares of common stock were outstanding as of that date. Proposal 2 (auditor), Proposal 3 (Say‑on‑Pay), Proposal 4 (reverse split) and Proposal 5 (adjournment) each require a majority of votes cast; director elections are by plurality.