Yocca Frank — SEC Form 4 filings
SEC reporting owner CIK 1733272. 18 Form 4 filings on record with FilingPulse; latest filed 2026-06-17.
Transaction summary — filings shown
Covers all 18 filings on record, filed 2024-04-08 to 2026-06-17. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 7 legs across 6 filings — 16,244 shares, $15,057 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 48.
- Largest priced transaction: sale of 6,845 shares @ $1.08 ($7,427) in BioXcel Therapeutics, Inc., filed 2026-05-22.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| BioXcel Therapeutics, Inc. (BTAI) | Chief Scientific Officer | 18 | — | 7 legs · 16,244 sh · $15,057 | 48 |
Form 4 filings — Yocca Frank
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-06-17 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 35 · Option exercise (M): 35 (derivative) @ $0 | EDGAR |
| 2026-05-22 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 17,500 · Sale (S): 6,845 @ $1.08 · Option exercise (M): 17,500 (derivative) @ $0 | EDGAR |
| 2026-05-07 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 9,000 · Option exercise (M): 9,000 (derivative) @ $0 | EDGAR |
| 2026-03-16 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 33 · Option exercise (M): 35 · Option exercise (M): 33 (derivative) @ $0 · Option exercise (M): 35 (derivative) @ $0 | EDGAR |
| 2026-01-05 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Grant/award (A): 70,000 (derivative) @ $0 | EDGAR |
| 2025-12-15 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 33 · Option exercise (M): 35 · Option exercise (M): 33 (derivative) @ $0 · Option exercise (M): 35 (derivative) @ $0 | EDGAR |
| 2025-09-16 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 33 · Option exercise (M): 35 · Option exercise (M): 33 (derivative) @ $0 · Option exercise (M): 35 (derivative) @ $0 | EDGAR |
| 2025-08-05 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Grant/award (A): 9,000 (derivative) @ $0 | EDGAR |
| 2025-07-22 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Grant/award (A): 4,375 | EDGAR |
| 2025-06-16 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 33 · Option exercise (M): 35 · Option exercise (M): 33 (derivative) @ $0 · Option exercise (M): 35 (derivative) @ $0 | EDGAR |
| 2025-04-01 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Grant/award (A): 1,875 (derivative) @ $0 | EDGAR |
| 2025-03-17 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 31 · Option exercise (M): 34 · Option exercise (M): 31 (derivative) @ $0 · Option exercise (M): 34 (derivative) @ $0 | EDGAR |
| 2025-01-10 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Grant/award (A): 270,000 (derivative) @ $0 | EDGAR |
| 2024-12-17 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 521 · Option exercise (M): 562 · Sale (S): 205 @ $0.36 · Sale (S): 225 @ $0.35 · Option exercise (M): 521 (derivative) @ $0 · Option exercise (M): 562 (derivative) @ $0 | EDGAR |
| 2024-10-03 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Grant/award (A): 21,250 · Sale (S): 7,175 @ $0.55 | EDGAR |
| 2024-09-17 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 521 · Option exercise (M): 563 · Sale (S): 355 @ $0.69 · Option exercise (M): 521 (derivative) @ $0 · Option exercise (M): 563 (derivative) @ $0 | EDGAR |
| 2024-06-18 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 521 · Option exercise (M): 562 · Sale (S): 372 @ $1.28 · Option exercise (M): 521 (derivative) @ $0 · Option exercise (M): 562 (derivative) @ $0 | EDGAR |
| 2024-04-08 | 4 | BioXcel Therapeutics, Inc. (BTAI) | Option exercise (M): 521 · Option exercise (M): 2,250 · Sale (S): 1,067 @ $2.63 · Option exercise (M): 521 (derivative) @ $0 · Option exercise (M): 2,250 (derivative) @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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