Yocca Frank

SEC source: 0001104659-24-044857 · tm2411220-1_4seq1.xml · nonDerivative · entry 3

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,763

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

F3 · price: The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.61 to $2.66. 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 sole at each separate price within the range set forth in this footnote.

F3 · ownership.direct: The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $2.61 to $2.66. 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 sole at each separate price within the range set forth in this footnote.

SEC source: 0001104659-24-044857 · tm2411220-1_4seq1.xml · derivative · entry 5

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,750

Underlying: Common Stock · 2,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

F5 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 56,000 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.

F5 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 56,000 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.

SEC source: 0001104659-24-044857 · tm2411220-1_4seq1.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,830

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

SEC source: 0001104659-24-044857 · tm2411220-1_4seq1.xml · derivative · entry 4

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,169

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

F4 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

SEC source: 0001104659-24-044857 · tm2411220-1_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,580

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

SEC source: 0001104659-23-126926 · tm2333119-5_4seq1.xml · derivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,690

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001104659-23-126926 · tm2333119-5_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,059

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

SEC source: 0001104659-23-101641 · tm2326350-3_4seq1.xml · derivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,211

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001104659-23-101641 · tm2326350-3_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,538

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

SEC source: 0001104659-23-072398 · tm2319006-4_4seq1.xml · derivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,732

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001104659-23-072398 · tm2319006-4_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,017

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

SEC source: 0001104659-23-033406 · tm239796-5_4seq1.xml · derivative · entry 5

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 32,000 shares

Expires 2033-03-15

F6 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 15, 2023 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-23-033406 · tm239796-5_4seq1.xml · derivative · entry 4

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires not disclosed

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

F5 · derivative.exercise_date: The RSUs will vest and settle 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 Restricted Stock Units 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.

F5 · derivative.expiration_date: The RSUs will vest and settle 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 Restricted Stock Units 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.

SEC source: 0001104659-23-033406 · tm239796-5_4seq1.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,496

F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 23, 2022.

F3 · price: This price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.6901 to 19.70. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-23-033406 · tm239796-5_4seq1.xml · derivative · entry 3

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,253

Underlying: Common Stock · 2,084 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

F4 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

SEC source: 0001104659-23-033406 · tm239796-5_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,481

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

SEC source: 0001104659-23-006298 · tm232491-3_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,397

F1 · kind: The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.

F2 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $30.00 to $30.03. The Reporting Person undertakes to provide upon request the SEC 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.

SEC source: 0001104659-22-034484 · tm229449-1_4seq1.xml · derivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,350

Underlying: Common Stock · 33,350 shares

Expires 2032-03-14

F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 14, 2022 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034484 · tm229449-1_4seq1.xml · derivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,337

Underlying: Common Stock · 8,337 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The RSUs will vest and settle 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 Restricted Stock Units 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.

F2 · derivative.expiration_date: The RSUs will vest and settle 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 Restricted Stock Units 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.

SEC source: 0001104659-21-043485 · tm217124d13_4seq1.xml · derivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

Underlying: Common Stock · 22,000 shares

Expires 2031-03-25

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 25, 2021 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-21-037765 · tm217124-9_4seq1.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,397

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.03 to $49.44. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-037765 · tm217124-9_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,027

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.00 to $48.96. The reporting person undertakes to provide BioXcel Therapeutics, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-025271 · tm217124-1_4seq1.xml · nonDerivative · entry 7

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,397

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.09 to $61.75. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-025271 · tm217124-1_4seq1.xml · nonDerivative · entry 6

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,997

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.11 to $60.92. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-025271 · tm217124-1_4seq1.xml · nonDerivative · entry 5

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,769

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.02 to $59.62. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-025271 · tm217124-1_4seq1.xml · nonDerivative · entry 4

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,269

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.02 to $58.98. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-025271 · tm217124-1_4seq1.xml · nonDerivative · entry 3

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,155

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.12 to $57.88. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-025271 · tm217124-1_4seq1.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,292

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.00 to $56.96. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-025271 · tm217124-1_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,097

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.78 to $55.99. The reporting person undertakes to provide BioXcel Therapeutics, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-008192 · tm214345d1_4seq1.xml · derivative · entry 6

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,310

Underlying: Common Stock · 15,000 shares

Expires 2027-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: The option vested and became exercisable as to 37,209 underlying shares on March 31, 2018, and the remaining 75% of underlying shares have vested or will vest in substantially equal monthly installments over the 36 months between August 23, 2018 and August 22, 2021, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-21-008192 · tm214345d1_4seq1.xml · nonDerivative · entry 5

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,397

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.00 to $49.74. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-008192 · tm214345d1_4seq1.xml · nonDerivative · entry 4

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,504

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.02 to $48.94. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-008192 · tm214345d1_4seq1.xml · nonDerivative · entry 3

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,025

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.01 to $47.99. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-008192 · tm214345d1_4seq1.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,497

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.875 to $46.97. The reporting person undertakes to provide BioXcel Therapeutics, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-008192 · tm214345d1_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,397

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-20-067057 · a4.xml · derivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2030-05-25

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of May 26, 2020 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-20-022899 · a4.xml · derivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,310

Underlying: Common Stock · 80,000 shares

Expires 2027-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is vested and became exercisable with respect to 10,146 shares and, with respect to the remaining 59,164 shares, will vest equally over the next 19 months from February 22, 2020 through August 22, 2021.

SEC source: 0001104659-20-022899 · a4.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,397

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-19-045930 · a4.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,397

F1 · price: The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $8.50 to $8.76, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote.

SEC source: 0001104659-18-071465 · a4.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,850

SEC source: 0001104659-18-071465 · a4.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,400

SEC source: 0001104659-18-070875 · a4.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 950

SEC source: 0001104659-18-070795 · a4.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

SEC source: 0001104659-18-017147 · a4.xml · derivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,808

Underlying: Common Stock · 36,498 shares

Expires 2028-03-12

F1 · derivative.exercise_date: The 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.