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Rodriguez Javier

Disclosed activity across 1 company

Tapewire entity
37105
SEC CIK
0001847919

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
BioXcel Therapeutics, Inc.BTAI · Entity 8380See RemarksJune 15, 2026June 18, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

BioXcel Therapeutics, Inc.

Report date June 15, 2026 · Filed June 18, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect26,838 Reported balance After 2026-06-15 transaction · row 1
1 source row

Row 1 · 2026-06-15 · Exercise / conversion · Acquired 35 · Balance 26,838

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

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect212 Reported balance After 2026-06-15 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2026-06-15 · Exercise / conversion · Disposed 35 · Balance 212

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

F2: On March 15, 2023, the Reporting Person was granted 562 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.

Filing footnotes · ownership attribution and instrument terms

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

F2: On March 15, 2023, the Reporting Person was granted 562 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.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 15, 2026 Filed Jun 18, 2026 00:01 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 35 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-075302 · tm2618120-4_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212

Underlying: Common Stock · 35 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 15, 2023, the Reporting Person was granted 562 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.

F2 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 562 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.

Read SEC document
June 15, 2026 Filed Jun 18, 2026 00:01 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 35 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-26-075302 · tm2618120-4_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,838

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.

Read SEC document
May 20, 2026 Filed May 22, 2026 23:02 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 SaleCommon Stock 6,560 $1.08 $7,111.04
Disclosure

SEC source: 0001104659-26-065839 · tm2615413-3_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,803

F2 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 3, 2026 solely to cover taxes due in connection with the vesting of restricted stock units.

F3 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $1.07 to $1.09. The Reporting Person undertakes to provide upon request to 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.

Read SEC document
May 04, 2026 Filed May 22, 2026 23:02 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 17,500 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-065839 · tm2615413-3_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 52,500

Underlying: Common Stock · 17,500 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 January 1, 2026, the Reporting Person was granted 70,000 RSUs, vesting as to 25% of the underlying shares on the six-month anniversary of the original promise date of November 4, 2025 (the "Vesting Commencement Date"), with the remaining 75% vesting in three equal installments of 25% on the last day of each subsequent six-month period thereafter, such that the RSUs are fully vested on the two-year anniversary of the Vesting Commencement Date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On January 1, 2026, the Reporting Person was granted 70,000 RSUs, vesting as to 25% of the underlying shares on the six-month anniversary of the original promise date of November 4, 2025 (the "Vesting Commencement Date"), with the remaining 75% vesting in three equal installments of 25% on the last day of each subsequent six-month period thereafter, such that the RSUs are fully vested on the two-year anniversary of the Vesting Commencement Date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

Read SEC document
May 04, 2026 Filed May 22, 2026 23:02 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 17,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-26-065839 · tm2615413-3_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 33,363

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.

Read SEC document
May 01, 2026 Filed May 7, 2026 23:00 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 9,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-057364 · tm2613630-1_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,000 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 August 1, 2025 (the "Grant Date"), the Reporting Person was granted 9,000 RSUs, vesting as to 100% on or within thirty (30) days of 9 months from the Grant Date, subject to the Reporting Person's continued employment with the Issuer or a subsidiary of the Issuer on such date.

F2 · derivative.expiration_date: On August 1, 2025 (the "Grant Date"), the Reporting Person was granted 9,000 RSUs, vesting as to 100% on or within thirty (30) days of 9 months from the Grant Date, subject to the Reporting Person's continued employment with the Issuer or a subsidiary of the Issuer on such date.

Read SEC document
May 01, 2026 Filed May 7, 2026 23:00 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 9,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-26-057364 · tm2613630-1_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,863

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.

Read SEC document
March 15, 2026 Filed Mar 17, 2026 00:03 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 35 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-028720 · tm268882-2_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247

Underlying: Common Stock · 35 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.

F3 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 562 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.

F3 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 562 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.

Read SEC document
March 15, 2026 Filed Mar 17, 2026 00:03 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 35 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-26-028720 · tm268882-2_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,863

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.

Read SEC document
March 14, 2026 Filed Mar 17, 2026 00:03 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 33 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-028720 · tm268882-2_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97

Underlying: Common Stock · 33 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 521 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 521 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.

Read SEC document
March 14, 2026 Filed Mar 17, 2026 00:03 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 33 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-26-028720 · tm268882-2_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,828

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.

Read SEC document
January 01, 2026 Filed Jan 6, 2026 01:00 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantRestricted Stock Units · Derivative 70,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-26-000834 · tm261931-1_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,282

Underlying: Common Stock · 70,000 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.

F2 · derivative.exercise_date: On January 1, 2026, the Reporting Person was granted 70,000 RSUs, vesting as to 25% of the underlying shares on the six-month anniversary of the original promise date of November 4, 2025 (the "Vesting Commencement Date"), with the remaining 75% vesting in three equal installments of 25% on the last day of each subsequent six-month period thereafter, such that the RSUs are fully vested on the two-year anniversary of the Vesting Commencement Date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F2 · derivative.expiration_date: On January 1, 2026, the Reporting Person was granted 70,000 RSUs, vesting as to 25% of the underlying shares on the six-month anniversary of the original promise date of November 4, 2025 (the "Vesting Commencement Date"), with the remaining 75% vesting in three equal installments of 25% on the last day of each subsequent six-month period thereafter, such that the RSUs are fully vested on the two-year anniversary of the Vesting Commencement Date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

Read SEC document
December 15, 2025 Filed Dec 16, 2025 01:01 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 35 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-121302 · tm2533410-2_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 282

Underlying: Common Stock · 35 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.

F3 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 562 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.

F3 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 562 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.

Read SEC document
December 15, 2025 Filed Dec 16, 2025 01:01 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 35 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-121302 · tm2533410-2_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,795

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.

Read SEC document
December 14, 2025 Filed Dec 16, 2025 01:01 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 33 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-121302 · tm2533410-2_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130

Underlying: Common Stock · 33 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 521 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 521 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.

Read SEC document
December 14, 2025 Filed Dec 16, 2025 01:01 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 33 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-121302 · tm2533410-2_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,760

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.

Read SEC document
September 15, 2025 Filed Sep 16, 2025 23:02 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 35 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-090516 · tm2526247-2_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 317

Underlying: Common Stock · 35 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.

F3 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 562 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.

F3 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 562 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.

Read SEC document
September 15, 2025 Filed Sep 16, 2025 23:02 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 35 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-090516 · tm2526247-2_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,727

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.

Read SEC document
September 14, 2025 Filed Sep 16, 2025 23:02 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 33 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-090516 · tm2526247-2_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163

Underlying: Common Stock · 33 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 521 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 521 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.

Read SEC document
September 14, 2025 Filed Sep 16, 2025 23:02 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 33 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-090516 · tm2526247-2_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,692

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.

Read SEC document
August 01, 2025 Filed Aug 6, 2025 00:01 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantRestricted Stock Units · Derivative 9,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-074371 · tm2522669-3_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

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.

F2 · derivative.exercise_date: On August 1, 2025 (the "Grant Date"), the Reporting Person was granted 9,000 RSUs, vesting as to 100% on or within thirty (30) days of 9 months from the Grant Date, subject to the Reporting Person's continued employment with the Issuer or a subsidiary of the Issuer on such date.

F2 · derivative.expiration_date: On August 1, 2025 (the "Grant Date"), the Reporting Person was granted 9,000 RSUs, vesting as to 100% on or within thirty (30) days of 9 months from the Grant Date, subject to the Reporting Person's continued employment with the Issuer or a subsidiary of the Issuer on such date.

Read SEC document
July 22, 2025 Filed Jul 23, 2025 00:25 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 625 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-069700 · tm2521458-1_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 625 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.

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On July 22, 2024, the Reporting Person was granted 625 RSUs, which vested as to 100% of the total number of RSUs on the first anniversary of the grant date.

F3 · derivative.expiration_date: On July 22, 2024, the Reporting Person was granted 625 RSUs, which vested as to 100% of the total number of RSUs on the first anniversary of the grant date.

Read SEC document
July 22, 2025 Filed Jul 23, 2025 00:25 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 625 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-069700 · tm2521458-1_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,659

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.

F2 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

Read SEC document
July 22, 2025 Filed Jul 23, 2025 00:25 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantCommon Stock 4,375 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-069700 · tm2521458-1_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,034

F1 · price: 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 July 22, 2025 (the "PSUs"). On July 22, 2025, the Compensation Committee of the Issuer's Board of Directors determined that performance conditions with respect to 4,375 PSUs had been satisfied and 4,375 shares of common stock became issuable to the Reporting Person on July 22, 2025.

Read SEC document
June 15, 2025 Filed Jun 16, 2025 23:00 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 35 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-059979 · tm2518140-1_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 352

Underlying: Common Stock · 35 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.

F3 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 562 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.

F3 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 562 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.

Read SEC document
June 15, 2025 Filed Jun 16, 2025 23:00 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 35 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-059979 · tm2518140-1_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,659

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.

Read SEC document
June 14, 2025 Filed Jun 16, 2025 23:00 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 33 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-059979 · tm2518140-1_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196

Underlying: Common Stock · 33 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 521 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 521 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.

Read SEC document
June 14, 2025 Filed Jun 16, 2025 23:00 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 33 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-059979 · tm2518140-1_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,624

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.

Read SEC document
March 15, 2025 Filed Mar 17, 2025 22:37 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 34 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-024533 · tm259558-3_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 387

Underlying: Common Stock · 34 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.

F3 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 562 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.

F3 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 562 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.

Read SEC document
March 15, 2025 Filed Mar 17, 2025 22:37 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 34 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-024533 · tm259558-3_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,591

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.

Read SEC document
March 14, 2025 Filed Mar 17, 2025 22:37 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 31 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-024533 · tm259558-3_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 229

Underlying: Common Stock · 31 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 521 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 521 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.

Read SEC document
March 14, 2025 Filed Mar 17, 2025 22:37 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 31 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-024533 · tm259558-3_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,557

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.

Read SEC document
December 16, 2024 Filed Dec 17, 2024 23:04 UTC BioXcel Therapeutics, Inc. BTAI ] · Entity 8380 SaleCommon Stock 220 $0.36 $78.47
Disclosure

SEC source: 0001104659-24-129458 · tm2431371-2_4seq1.xml · nonDerivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 24,423

F2 · kind: 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.

Read SEC document
December 16, 2024 Filed Dec 17, 2024 23:04 UTC BioXcel Therapeutics, Inc. BTAI ] · Entity 8380 SaleCommon Stock 210 $0.36 $74.55
Disclosure

SEC source: 0001104659-24-129458 · tm2431371-2_4seq1.xml · nonDerivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 24,643

F2 · kind: 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.

Read SEC document
December 15, 2024 Filed Dec 17, 2024 23:04 UTC BioXcel Therapeutics, Inc. BTAI ] · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 562 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-129458 · tm2431371-2_4seq1.xml · derivative · entry 6

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,064

Underlying: Common Stock · 562 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 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.

F4 · derivative.expiration_date: 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.

Read SEC document
December 15, 2024 Filed Dec 17, 2024 23:04 UTC BioXcel Therapeutics, Inc. BTAI ] · Entity 8380 Exercise / conversionCommon Stock 562 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-129458 · tm2431371-2_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 24,853

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.

Read SEC document
December 14, 2024 Filed Dec 17, 2024 23:04 UTC BioXcel Therapeutics, Inc. BTAI ] · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 521 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-129458 · tm2431371-2_4seq1.xml · derivative · entry 5

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,606

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.

F3 · 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.

F3 · 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.

Read SEC document
December 14, 2024 Filed Dec 17, 2024 23:04 UTC BioXcel Therapeutics, Inc. BTAI ] · Entity 8380 Exercise / conversionCommon Stock 521 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-129458 · tm2431371-2_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 24,291

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.

Read SEC document
October 03, 2024 Filed Oct 4, 2024 01:55 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 SaleCommon Stock 6,863 $0.55 $3,774.65
Disclosure

SEC source: 0001104659-24-106063 · tm2425607-6_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,770

F2 · kind: 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 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $0.5500 to $0.5515. 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.

Read SEC document
September 17, 2024 Filed Oct 4, 2024 01:55 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantCommon Stock 21,250 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-106063 · tm2425607-6_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 30,633

F1 · price: 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.

Read SEC document
September 16, 2024 Filed Sep 17, 2024 23:20 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 SaleCommon Stock 345 $0.69 $238.05
Disclosure

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · nonDerivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,133

F2 · kind: 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.

Read SEC document
September 15, 2024 Filed Sep 17, 2024 23:20 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 563 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · derivative · entry 5

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,625

Underlying: Common Stock · 563 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 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.

F4 · derivative.expiration_date: 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.

Read SEC document
September 15, 2024 Filed Sep 17, 2024 23:20 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 563 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,478

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.

Read SEC document
September 14, 2024 Filed Sep 17, 2024 23:20 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 521 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,127

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.

F3 · 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.

F3 · 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.

Read SEC document
September 14, 2024 Filed Sep 17, 2024 23:20 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 521 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,915

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.

Read SEC document
July 22, 2024 Filed Apr 1, 2025 22:04 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantStock Option (right to buy) · Derivative 1,875 $0.00 Strike: $1.20 $0.00
Disclosure

SEC source: 0001104659-25-030682 · tm2511097-3_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common Stock · 1,875 shares

Expires 2034-07-22

F2 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F4 · derivative.exercise_date: The Reporting Person was granted an option to purchase 1,875 shares of common stock, which vests as to 50% on each of the first and second anniversaries of the grant date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

Read SEC document
July 22, 2024 Filed Apr 1, 2025 22:04 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantRestricted Stock Units · Derivative 625 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-030682 · tm2511097-3_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 625

Underlying: Common Stock · 625 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 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F3 · derivative.exercise_date: The RSUs will vest and settle as to 100% of the total number of RSUs on the first anniversary of the grant date, subject to the Reporting Person's continuous employment with the Issuer through such date.

F3 · derivative.expiration_date: The RSUs will vest and settle as to 100% of the total number of RSUs on the first anniversary of the grant date, subject to the Reporting Person's continuous employment with the Issuer through such date.

Read SEC document
June 17, 2024 Filed Jun 19, 2024 01:25 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 SaleCommon Stock 361 $1.26 $456.02
Disclosure

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · nonDerivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,394

F2 · kind: 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.

Read SEC document
June 15, 2024 Filed Jun 19, 2024 01:25 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 562 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · derivative · entry 5

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,188

Underlying: Common Stock · 562 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 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.

F4 · derivative.expiration_date: 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.

Read SEC document
June 15, 2024 Filed Jun 19, 2024 01:25 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 562 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,755

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.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.