BioXcel Therapeutics, Inc. — Director's Dealing 2024

Jun 19, 2024

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BioXcel Therapeutics, Inc. (BTAI)
CIK: 0001720893
Period of Report: 2024-06-14

Reporting Person: Rodriguez Javier (See Remarks)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2024-06-14	Common Stock	M	521	—	Acquired	8193	Direct
2024-06-15	Common Stock	M	562	—	Acquired	8755	Direct
2024-06-17	Common Stock	S	361	$1.2632	Disposed	8394	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2024-06-14	Restricted Stock Units	$	M	521	Disposed		Common Stock (521)	Direct
2024-06-15	Restricted Stock Units	$	M	562	Disposed		Common Stock (562)	Direct

Footnotes

F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

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: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 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.

F4: On March 15, 2023, the Reporting Person was granted 9,000 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.