SEC Form 4 · accession 0001104659-26-075298
BioXcel Therapeutics, Inc. · BTAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vimal Mehta
Officer — CEO and President · Director
Period of report
Jun 15, 2026
Accepted (ET)
Jun 17, 2026 · 8:00 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001720893
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 15, 2026 | M | 219 | — | A | 69,817 | D | |
| Common Stock | holding | — | — | — | 125 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 480,343 | I | By BioXcel LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Jun 15, 2026 | M | 219 | D | — | — | Common Stock | 219 | 1,313 | D |
Explanation of responses
- F1Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
- F2These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is an executive officer and the sole member of the board of directors of Parent and an executive officer and one of two managers on the board of managers of BioXcel LLC and Parent. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.
- F3On March 15, 2023, the Reporting Person was granted 3,500 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.