Yocca Frank's Form 4 filing
BioXcel Therapeutics, Inc. (BTAIQ) · filed Mar 16, 2023
- Accession no.
- 0001104659-23-033406
- Filed
- Mar 16, 2023
- Trade date
- Mar 14-15, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 3 derivative transactions. Open-market sales total $19.4K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Yocca FrankCIK 0001733272 | Officer (Chief Scientific Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 14, 2023 | Common Stock | MOption exerciseAcquired | +2,084 | – | – | 10,481 | Direct | |
| Mar 15, 2023 | Common Stock | SSaleDisposed | −985 | $19.69 | −$19,394.65 | 9,496 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 14, 2023 | Common Stock | MOption exerciseDisposed | −2,084 | $0.00 | $0 | 6,253 | Direct | |
| Mar 15, 2023 | Common Stock | AGrant or awardAcquired | +9,000 | $0.00 | $0 | 9,000 | Direct | |
| Mar 15, 2023 | Common Stock | AGrant or awardAcquired | +32,000 | $0.00 | $0 | 32,000 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.