BioXcel Therapeutics, Inc. — Director's Dealing 2024

Oct 4, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BioXcel Therapeutics, Inc. (BTAI)
CIK: 0001720893
Period of Report: 2024-09-17

Reporting Person: Yocca Frank (Chief Scientific Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-09-17	Common Stock	A	21250	—	Acquired	35453	Direct
2024-10-03	Common Stock	S	7175	$0.55	Disposed	28278	Direct

Footnotes

F1: The Issuer previously granted the Reporting Person an award of restricted stock units that would vest based on the Issuer's satisfaction of certain performance objectives and subject to the Reporting Person's continued service with the Issuer through October 1, 2024 (the "PSUs"). On September 17, 2024, the Compensation Committee of the Issuer's Board of Directors determined that performance conditions with respect to 21,250 PSUs had been satisfied and 21,250 shares of common stock became issuable to the Reporting Person on October 1, 2024.

F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

F3: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $0.5500 to $0.5501. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.