Yocca Frank 4
4 · BioXcel Therapeutics, Inc. · Filed Dec 17, 2024
Insider Transaction Report
Form 4
Yocca Frank
Chief Scientific Officer
Transactions
- Exercise/Conversion
Common Stock
2024-12-14+521→ 28,799 total - Sale
Common Stock
2024-12-16$0.35/sh−225$79→ 28,931 total - Sale
Common Stock
2024-12-16$0.36/sh−205$73→ 29,156 total - Exercise/Conversion
Restricted Stock Units
2024-12-15−562→ 5,064 total→ Common Stock (562 underlying) - Exercise/Conversion
Common Stock
2024-12-15+562→ 29,361 total - Exercise/Conversion
Restricted Stock Units
2024-12-14−521→ 2,606 total→ Common Stock (521 underlying)
Footnotes (4)
- [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 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.