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Proposal | | | Votes Required | | | Voting Options | | | Impact of “Withhold” or “Abstain” Votes | | | Broker Discretionary Voting Allowed | |
Proposal No. 1: Election of Directors | | | The plurality of the votes cast by the stockholders present in person or represented by proxy at the meeting and entitled to vote thereon. This means that the | | | “FOR ALL” “WITHHOLD ALL” “FOR ALL EXCEPT” | | | None(1) | | | No(3) | |
Proposal No. 2: Ratification of Appointment of Independent Registered Public Accounting Firm | | | The affirmative vote of the holders of a majority in voting power of the votes cast affirmatively or negatively at the Annual Meeting by the holders entitled to vote thereon. | | | “FOR” “AGAINST” “ABSTAIN” | | | None(2) | | | Yes(4) | |
| Class I Director — Current Term Ending at | | | Class II Director — Current Term Ending at 2023 Annual Meeting | | | Class III Director — Current Term Ending at 2024 Annual Meeting | |
| Krishnan Nandabalan, Ph.D. June Bray | | | Sandeep Laumas, M.D. Michael Miller Michal Votruba, M.D. | | | Vimal Mehta, Ph.D. | |
Peter Mueller, Ph.D. | |
Class II Directors | | | Age | | | Served as Director | | | Current Positions with BTAI | |
Sandeep Laumas, M.D. | | | | | September 2017 | | | Director | | |
| | | | June 2022 | | | Director | | ||
Michal Votruba, M.D. | | | 57 | | | March 2019 | | | Director | |
Class III Directors | | | Age | | | Served as Director Since | | | Current Positions with BTAI | |
Vimal Mehta, Ph.D. | | | | | April 2017 | | | Chief Executive Officer and President, and Director | | |
Peter Mueller, Ph.D. | | | | | April 2017 | | | Chairman of the Board | |
Class I Directors | | | Age | | | Served as Director Since | | | Current Positions with BTAI | |
June Bray | | | 70 | | | March 2021 | | | Director | |
Krishnan Nandabalan, Ph.D. | | | 60 | | | May 2017 | | | Director | |
| | Year Ended December 31, | | | Year Ended December 31, | | ||||||||||||||||||||
| | 2021 | | 2020 | | | 2022 | | 2021 | | ||||||||||||||||
Audit Fees(1) | | | $ | 484,480 | | | | $ | 352,285 | | | | | $ | 1,569,000 | | | | $ | 484,480 | | | ||||
Audit-Related Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
Tax Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
All Other Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
Total | | | $ | 484,480 | | | | $ | 352,285 | | | | | $ | 1,569,000 | | | | $ | 484,480 | | |
Executive Officer | | Age | | Position | | In Current Position Since | | | Age | | Position | | In Current Position Since | | ||||||
Vimal Mehta | | 61 | | Chief Executive Officer and President, and Director | | 2017 | | | 62 | | Chief Executive Officer and President, and Director | | 2017 | | ||||||
Richard Steinhart | | 64 | | Senior Vice President and Chief Financial Officer | | 2017 | | | 66 | | Senior Vice President and Chief Financial Officer | | 2018 | | ||||||
Matthew Wiley | | 50 | | Senior Vice President and Chief Commercial Officer | | 2021 | | | 51 | | Senior Vice President and Chief Commercial Officer | | 2022 | | ||||||
Frank Yocca, Ph.D | | 66 | | Senior Vice President and Chief Scientific Officer | | 2017 | | | 67 | | Senior Vice President and Chief Scientific Officer | | 2018 | | ||||||
Vincent O’Neill, M.D. | | 53 | | Senior Vice President and Chief Medical Officer | | 2017 | | | 54 | | Senior Vice President and Chief Medical Officer | | 2018 | | ||||||
Javier Rodriguez | | 50 | | Senior Vice President, Chief Legal Officer and Corporate Secretary | | 2021 | | | 51 | | Senior Vice President, Chief Legal Officer and Corporate Secretary | | 2021 | |
| • Board size, independence and qualifications • Executive sessions of independent directors • Board leadership structure • Director qualifications and selection of new directors • Director orientation and continuing education • Limits on board service • Change of principal occupation • Term limits • Director responsibilities • Director compensation • Stock ownership | | | • Conflicts of Interest • Interaction with investors, the press and customers • Board access to senior management • Board access to independent advisors • Board and committee self-evaluations • Board meetings • Director attendance • Meeting materials • Board committees, responsibilities and independence • Succession planning • Risk management | |
| | | Audit Committee | | | Compensation Committee | | | Nominating and Corporate Governance Committee | |
June Bray | | | — | | | — | | | X | |
Sandeep Laumas, M.D | | | Chair | | | X | | | X | |
Peter Mueller, Ph.D | | | X | | | Chair | | | Chair | |
Michael Miller | | | X | | | | | | | |
Michal Votruba, M.D. | | | X | | | — | | | — | |
Board Diversity Matrix (As of May 17, 2023) | | ||||||||||||||||||||||||||||||
Total number of directors | | | 7 | | |||||||||||||||||||||||||||
| | | Female | | | Male | | | | | Non-Binary | | | Did Not Disclose Gender | | ||||||||||||||||
Part I: Gender Identity | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Directors | | | | | 1 | | | | | | 6 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Part II: Demographic Background | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
African American or Black | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Alaskan Native or American Indian | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Asian | | | | | 0 | | | | | | 3 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Hispanic or Latinx | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Native Hawaiian or Pacific Islander | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
White | | | | | 1 | | | | | | 3 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Two or More Races or Ethnicities | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
LGBTQ+ | | | | | | | | | | | | | | | | | 0 | | | | | | | | | | | | | | |
Did Not Disclose Demographic Background | | | | | | | | | | | | | | | | | 1 | | | | | | | | | | | | | | |
Board Diversity Matrix (As of April 5, 2022) | | ||||||||||||||||||||||||||||||
Total number of directors | | | 6 | | |||||||||||||||||||||||||||
| | | Female | | | Male | | | | | | | | | Non-Binary | | | Did Not Disclose Gender | | ||||||||||||
Part I: Gender Identity | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Directors | | | | | 1 | | | | | | 5 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Part II: Demographic Background | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
African American or Black | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Alaskan Native or Native American | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Asian | | | | | 0 | | | | | | 3 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Hispanic or Latinx | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Native Hawaiian or Pacific Islander | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
White | | | | | 1 | | | | | | 2 | | | | | | | | | | | | 0 | | | | | | 0 | | |
Two or More Races or Ethnicities | | | | | 0 | | | | | | 0 | | | | | | | | | | | | 0 | | | | | | 0 | | |
LGBTQ+ | | | | | | | | | | | | | | | | | 0 | | | | | | | | | | | | | | |
Did Not Disclose Demographic Background | | | | | | | | | | | | | | | | | 0 | | | | | | | | | | | | | | |
Name and Principal Position | | | Year | | | Salary ($) | | | Option Awards (S)(1) | | | Non-Equity Incentive Plan Compensation ($)(2) | | | All Other Compensation ($)(3) | | | Total ($) | | ||||||||||||||||||
Vimal Mehta, Ph.D. | | | | | 2021 | | | | | | 916,701 | | | | | | 7,964,625 | | | | | | 483,052 | | | | | | 7,800 | | | | | | 9,372,177 | | |
Chief Executive Officer and President | | | | | 2020 | | | | | | 890,000 | | | | | | 8,122,500 | | | | | | 556,250 | | | | | | 7,800 | | | | | | 9,576,550 | | |
Javier Rodriquez | | | | | 2021 | | | | | | 334,028 | | | | | | 1,543,898 | | | | | | 136,500 | | | | | | — | | | | | | 2,014,426 | | |
Senior Vice President and Chief Legal Officer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Frank Yocca | | | | | 2021 | | | | | | 333,250 | | | | | | 700,887 | | | | | | 112,912 | | | | | | 6,420 | | | | | | 1,153,469 | | |
Senior Vice President and Chief Scientific Officer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Name and Principal Position | | | Year | | | Salary ($) | | | Bonus ($)(1) | | | Stock Awards ($)(2) | | | Option Awards ($)(2) | | | Non-Equity Incentive Plan Compensation ($)(3) | | | All Other Compensation ($)(4) | | | Total ($) | | ||||||||||||||||||||||||
Vimal Mehta, Ph.D. | | | | | 2022 | | | | | | 944,436 | | | | | | 150,000 | | | | | | 800,592 | | | | | | 1,994,080 | | | | | | 654,662 | | | | | | 15,425 | | | | | | 4,559,195 | | |
Chief Executive Officer | | | | | 2021 | | | | | | 916,701 | | | | | | — | | | | | | — | | | | | | 7,964,625 | | | | | | 483,052 | | | | | | 7,800 | | | | | | 9,372,177 | | |
Javier Rodriguez | | | | | 2022 | | | | | | 403,650 | | | | | | 50,000 | | | | | | 181,439 | | | | | | 398,219 | | | | | | 177,606 | | | | | | 7,625 | | | | | | 1,218,539 | | |
Senior VP and Chief Legal Officer | | | | | 2021 | | | | | | 334,028 | | | | | | — | | | | | | — | | | | | | 1,543,898 | | | | | | 136,500 | | | | | | — | | | | | | 2,014,426 | | |
Matthew Wiley | | | | | 2022 | | | | | | 402,500 | | | | | | — | | | | | | — | | | | | | 1,307,572 | | | | | | 210,000 | | | | | | 7,625 | | | | | | 1,927,697 | | |
SVP and Chief Commercial Officer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Name | | | 2022 Equity Awards Granted (#) | | |||||||||
| | | Options | | | RSUs | | ||||||
Vimal Mehta, Ph.D. | | | | | 167,000 | | | | | | 56,750 | | |
Javier Rodriguez | | | | | 33,350 | | | | | | 13,337 | | |
Matthew Wiley | | | | | 85,000 | | | | | | — | | |
| | Option Awards | | | | | | | | Option Awards | | Stock Awards | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | Vesting Commencement Date | | Number of Securities Underlying Unexercised Options Exercisable (#) | | Number of Securities Underlying Unexercised Options Unexercisable (#) | | Option Exercise Price ($) | | Option Expiration Date | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Name | | Vesting Commencement Date | | Number of Securities Underlying Unexercised Options (#) Exercisable | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | Number of Shares or Units of Stock That Have Not Vested (#) | | Market Value of Shares or Units of Stock That Have Not Vested ($)(1) | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Vimal Mehta, Ph.D. | | | | 08/23/2017 | | | | | 474,000 | | | | | — | | | | | 0.41 | | | | | 08/23/2027 | | | | | | | 08/23/2017 | | | | | 414,000 | | | | | — | | | | | 0.41 | | | | | 08/23/2027 | | | | | — | | | | | — | | | |||||||||||
| | | | 05/23/2019(1) | | | | | 168,148 | | | | | 19,552 | | | | | 10.04 | | | | | 05/23/2029 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 05/26/2020(2) | | | | | 98,958 | | | | | 151,042 | | | | | 45.99 | | | | | 05/26/2030 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 3/25/2021(3) | | | | | — | | | | | 250,000 | | | | | 41.17 | | | | | 03/25/2031 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
Javier Rodriquez | | | | 02/22/2021(3) | | | | | — | | | | | 32,000 | | | | | 54.90 | | | | | 02/22/2031 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 08/16/2021(3) | | | | | — | | | | | 10,000 | | | | | 23.84 | | | | | 08/16/2031 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
Frank Yocca | | | | 08/23/2017 | | | | | 54,310 | | | | | — | | | | | 0.41 | | | | | 08/23/2027 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 03/12/2018(2) | | | | | 34,217 | | | | | 2,281 | | | | | 11.00 | | | | | 03/12/2028 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 05/26/2020(2) | | | | | 17,813 | | | | | 27,187 | | | | | 45.99 | | | | | 05/26/2030 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 03/25/2021(3) | | | | | — | | | | | 22,000 | | | | | 41.17 | | | | | 03/25/2031 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
Vimal Mehta, Ph.D. | | | | | 05/23/2019 | | | | | 187,700 | | | | | — | | | | | 10.04 | | | | | 05/23/2029 | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | 05/26/2020(2) | | | | | 161,458 | | | | | 88,542 | | | | | 45.99 | | | | | 05/26/2030 | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||
| | | 03/25/2021(2) | | | | | 109,374 | | | | | 140,626 | | | | | 41.17 | | | | | 03/25/2031 | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||
| | | 03/14/2022(3) | | | | | — | | | | | 167,000 | | | | | 15.31 | | | | | 03/14/2032 | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||
| | | 03/14/2022 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 41,750(4) | | | | $ | 896,790 | | | |||||||||||||||||||||||||||||||||||||||
| | | 05/12/2022 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 15,000(5) | | | | $ | 322,200 | | | |||||||||||||||||||||||||||||||||||||||
| | | 02/22/2021(2) | | | | | 14,666 | | | | | 17,334 | | | | | 54.90 | | | | | 02/22/2031 | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||
Javier Rodriguez | | | | | 08/16/2021(2) | | | | | 3,333 | | | | | 6,667 | | | | | 23.84 | | | | | 08/16/2031 | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | 03/14/2022(3) | | | | | — | | | | | 33,350 | | | | | 15.31 | | | | | 03/14/2032 | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||
| | | 03/14/2022 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 8,337(4) | | | | $ | 179,079 | | | |||||||||||||||||||||||||||||||||||||||
| | | 05/12/2022 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 5,000(5) | | | | $ | 107,400 | | | |||||||||||||||||||||||||||||||||||||||
| | | 01/17/2022(3) | | | | | — | | | | | 85,000 | | | | | 18.00 | | | | | 01/17/2032 | | | | | — | | | | | — | | |
Position | | Amount | | | Amount | | ||||||||
Base Board Fee | | | $ | 60,000 | | | | | $ | 60,000 | | | ||
Chair of Board | | | $ | 30,000 | | | ||||||||
Chair of Board or Lead Independent Director | | | $ | 35,000 | | | ||||||||
Chair of Audit Committee | | | $ | 20,000 | | | | | $ | 20,000 | | | ||
Chair of Compensation Committee | | | $ | 10,000 | | | | | $ | 15,000 | | | ||
Chair of Nominating and Corporate Governance Committee | | | $ | 8,000 | | | | | $ | 10,000 | | | ||
Member of Audit Committee (non-Chair) | | | $ | 7,500 | | | | | $ | 10,000 | | | ||
Member of Compensation Committee (non-Chair) | | | $ | 5,000 | | | | | $ | 7,500 | | | ||
Member of Nominating and Corporate Governance Committee (non-Chair) | | | $ | 4,000 | | | | | $ | 5,000 | | |
Name | | Fees Earned or Paid in Cash ($) | | Option Awards ($) | | All Other Compensation ($) | | Total ($) | | | Fees Earned or Paid in Cash ($) | | Option Awards ($)(1) | | All Other Compensation ($) | | Total ($) | | ||||||||||||||||||||||||||||||||
Peter Mueller, Ph.D. | | | | 114,806 | | | | | 412,458(2) | | | | | — | | | | | 527,264 | | | | | | 120,840 | | | | | 174,327(2) | | | | | — | | | | | 295,167 | | | ||||||||
Sandeep Laumas, M.D. | | | | 88,653 | | | | | 412,458(3) | | | | | — | | | | | 501,111 | | | | | | 90,289 | | | | | 174,327(3) | | | | | — | | | | | 264,616 | | | ||||||||
Krishnan Nandabalan, Ph.D. | | | | — | | | | | — | | | | | 150,000 | | | | | 150,000 | | | | | | | | | | | — | | | | $ | 100,000 | | | | $ | 100,000 | | | ||||||||
Michal Votruba, M.D., Ph.D. | | | | 67,500 | | | | | 412,458(4) | | | | | — | | | | | 479,958 | | | |||||||||||||||||||||||||||||
Michal Votruba, M.D. | | | | 68,421 | | | | | 174,327(4) | | | | | — | | | | | 242,748 | | | |||||||||||||||||||||||||||||
June Bray | | | | 37,194 | | | | | 906,284(6) | | | | | — | | | | | 943,478 | | | | | | 64,368 | | | | | 174,327(5) | | | | | — | | | | | 238,695 | | | ||||||||
Michael Miller | | | | 19,194 | | | | | 336,057(6) | | | | | — | | | | | 355,251 | | |
Plan Category | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (a) | | Weighted-average exercise price of outstanding options, warrants and rights (b) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a))(4) (c) | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (a) | | Weighted-average exercise price of outstanding options, warrants and rights (b) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a))(4)(c) | | ||||||||||||||||||||||||
Equity compensation plans approved by security holders (1) | | | | 4,000,241(2) | | | | $ | 18.89(3) | | | | | 992,193 | | | | | | 5,001,351(2) | | | | $ | 17.23(3) | | | | | 1,223,219 | | | ||||||
Equity compensation plans not approved by security holders | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | ||||||
Total | | | | 4,000,241 | | | | $ | 18.89 | | | | | 992,193 | | | | | | 5,001,351 | | | | $ | 17.23 | | | | | 1,223,219 | | |
Name of Beneficial Owner | | | Number of Shares Beneficially Owned | | | Percentage of Shares Beneficially Owned | | ||||||
Holders of more than 5%: | | | | | | | | | | | | | |
BioXcel LLC(1) | | | | | 8,546,750 | | | | | | 30.6% | | |
FMR LLC(2) | | | | | 4,197,049 | | | | | | 15.0% | | |
AllianceBernstein L.P.(3) | | | | | 1,508,768 | | | | | | 5.4% | | |
Named executive officers and directors: | | | | | | | | | | | | | |
Vimal Mehta, Ph.D.(1)(4) | | | | | 9,407,906 | | | | | | 32.6% | | |
Javier Rodriquez(5) | | | | | 9,999 | | | | | | * | | |
Frank Yocca(6) | | | | | 76,725 | | | | | | * | | |
June Bray(7) | | | | | 4,167 | | | | | | * | | |
Sandeep Laumas, M.D.(8) | | | | | 158,888 | | | | | | * | | |
Peter Mueller, Ph.D.(9) | | | | | 410,892 | | | | | | 1.5% | | |
Krishnan Nandabalan, Ph.D.(1)(10) | | | | | 9,029,500 | | | | | | 31.7% | | |
Michal Votruba, M.D., Ph.D.(11) | | | | | 219,075 | | | | | | * | | |
All executive officers and directors as a group | | | | | | | | | | | | | |
(11 individuals)(12) | | | | | 11,118,401 | | | | | | 37.0% | | |
Name of Beneficial Owner | | | Number of Shares Beneficially Owned | | | Percentage of Shares Beneficially Owned | | ||||||
Holders of more than 5%: | | | | | | | | | | | | | |
BioXcel LLC(1) | | | | | 8,546,750 | | | | | | 29.3% | | |
FMR LLC(2) | | | | | 4,203,436 | | | | | | 14.4% | | |
Adage Capital Advisors, L.L.C.(3) | | | | | 1,548,591 | | | | | | 5.3% | | |
Named executive officers and directors: | | | | | | | | | | | | | |
Vimal Mehta, Ph.D.(4) | | | | | 962,722 | | | | | | 3.2% | | |
Javier Rodriguez(5) | | | | | 40,325 | | | | | | * | | |
Matthew Wiley(6) | | | | | 30,104 | | | | | | * | | |
June Bray(7) | | | | | 37,832 | | | | | | * | | |
Sandeep Laumas, M.D.(8) | | | | | 190,388 | | | | | | * | | |
Michael Miller(9) | | | | | — | | | | | | * | | |
Peter Mueller, Ph.D.(10) | | | | | 465,194 | | | | | | 1.6% | | |
Krishnan Nandabalan, Ph.D.(1)(11) | | | | | 8,850,438 | | | | | | 30.0 | | |
Michal Votruba, M.D.(12) | | | | | 250,575 | | | | | | * | | |
All executive officers and directors as a group (12 individuals)(13) | | | | | 11,258,330 | | | | | | 35.8% | | |