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Rodriguez Javier

Disclosed activity across 1 company

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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 14, 2024 Filed Jun 19, 2024 01:25 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 521 $0.00 $0.00
Disclosure

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

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,648

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
June 14, 2024 Filed Jun 19, 2024 01:25 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 521 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,193

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
April 04, 2024 Filed Apr 8, 2024 23:30 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 SaleCommon Stock 1,012 $2.64 $2,667.43
Disclosure

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · nonDerivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,672

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 $2.625 to $2.654. 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
March 15, 2024 Filed Apr 8, 2024 23:30 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 2,250 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · derivative · entry 5

Rodriguez Javier · CIK 0001847919 · See Remarks

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 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.

F5 · 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
March 15, 2024 Filed Apr 8, 2024 23:30 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 2,250 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,684

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, 2024 Filed Apr 8, 2024 23:30 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 521 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

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.

Read SEC document
March 14, 2024 Filed Apr 8, 2024 23:30 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 521 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-044858 · tm2411220-2_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,434

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, 2023 Filed Dec 18, 2023 21:54 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 521 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-126923 · tm2333119-3_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

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.

Read SEC document
December 14, 2023 Filed Dec 18, 2023 21:54 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 521 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-23-126923 · tm2333119-3_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,913

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, 2023 Filed Sep 18, 2023 20:48 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 521 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-101639 · tm2326350d2_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

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.

Read SEC document
September 14, 2023 Filed Sep 18, 2023 20:48 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 521 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-23-101639 · tm2326350d2_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,392

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, 2023 Filed Jun 16, 2023 22:46 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 521 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-072399 · tm2319006-5_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

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.

Read SEC document
June 14, 2023 Filed Jun 16, 2023 22:46 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 521 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-23-072399 · tm2319006-5_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,871

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 15, 2023 Filed May 17, 2023 00:29 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 SaleCommon Stock 1,785 $27.32 $48,764.77
Disclosure

SEC source: 0001104659-23-061537 · tm2316022-1_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,350

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 22, 2022.

F3 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $27.00 to $27.63. 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
May 14, 2023 Filed May 17, 2023 00:29 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-061537 · tm2316022-1_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 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.

F4 · derivative.exercise_date: On May 14, 2022, the Reporting Person was granted 5,000 RSUs that vested and settled on May 14, 2023.

F4 · derivative.expiration_date: On May 14, 2022, the Reporting Person was granted 5,000 RSUs that vested and settled on May 14, 2023.

Read SEC document
May 14, 2023 Filed May 17, 2023 00:29 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-23-061537 · tm2316022-1_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,135

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, 2023 Filed Mar 16, 2023 21:58 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantStock Option (Right to Buy) · Derivative 32,000 $0.00 Strike: $19.60 $0.00
Disclosure

SEC source: 0001104659-23-033400 · tm239796-1_4seq1.xml · derivative · entry 5

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 32,000 shares

Expires 2033-03-15

F5 · 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.

Read SEC document
March 15, 2023 Filed Mar 16, 2023 21:58 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantRestricted Stock Units · Derivative 9,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-033400 · tm239796-1_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

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.

F4 · 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.

F4 · 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.

Read SEC document
March 15, 2023 Filed Mar 16, 2023 21:58 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 SaleCommon Stock 950 $19.63 $18,643.75
Disclosure

SEC source: 0001104659-23-033400 · tm239796-1_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,135

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 22, 2022.

Read SEC document
March 14, 2023 Filed Mar 16, 2023 21:58 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionRestricted Stock Units · Derivative 2,084 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-033400 · tm239796-1_4seq1.xml · derivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

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.

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
March 14, 2023 Filed Mar 16, 2023 21:58 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 Exercise / conversionCommon Stock 2,084 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-23-033400 · tm239796-1_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,084

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 14, 2022 Filed May 17, 2022 19:38 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-061918 · tm2215808-1_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 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. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

Read SEC document
March 14, 2022 Filed Mar 16, 2022 20:18 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantStock Option (Right to Buy) · Derivative 33,350 $0.00 Strike: $15.31 $0.00
Disclosure

SEC source: 0001104659-22-034503 · tm229449-4_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

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.

Read SEC document
March 14, 2022 Filed Mar 16, 2022 20:18 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantRestricted Stock Units · Derivative 8,337 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-034503 · tm229449-4_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

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.

Read SEC document
August 16, 2021 Filed Aug 18, 2021 21:27 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $23.84 $0.00
Disclosure

SEC source: 0001104659-21-107407 · tm2125392-2_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-08-16

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of August 16, 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.

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February 22, 2021 Filed Feb 24, 2021 23:59 UTC BioXcel Therapeutics, Inc. BTAI · Entity 8380 GrantStock Option (Right to Buy) · Derivative 32,000 $0.00 Strike: $54.90 $0.00
Disclosure

SEC source: 0001104659-21-027680 · tm217124-4_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 32,000 shares

Expires 2031-02-21

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of February 22, 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.

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