SEC Form 4 · accession 0001104659-18-017147
BioXcel Therapeutics, Inc. · BTAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Yocca
Officer — Chief Scientific Officer
Period of report
Mar 12, 2018
Accepted (ET)
Mar 13, 2018 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001720893
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $11.00 | Mar 12, 2018 | A | 36,498 | A | — | Mar 12, 2028 | Common Stock | 36,498 | 185,808 | D |
Explanation of responses
- F1The shares underlying this stock option vest as follows: 9,125 shares shall vest on March 12, 2019 and the remaining 27,374 shares shall vest monthly over 36 months from March 12, 2019 through March 12, 2022.