09/16/2025 | Press release | Distributed by Public on 09/16/2025 17:37
FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $118.96 | 09/12/2025 | M(1)(2) | 27,907 | 05/27/2017 | 05/27/2026 | Common Stock | 27,907 | $ 0 | 496,093 | D | ||||
Stock Option (Right to Buy) | $117.37 | 09/15/2025 | M(1)(2) | 15,254 | 05/27/2017 | 05/27/2026 | Common Stock | 15,254 | $ 0 | 480,839 | D | ||||
Stock Option (Right to Buy) | $114.19 | 09/16/2025 | M(1)(2) | 19,719 | 05/27/2017 | 05/27/2026 | Common Stock | 19,719 | $ 0 | 461,120 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TABUTEAU HERRIOT C/O AXSOME THERAPEUTICS, INC. ONE WORLD TRADE CENTER, 29TH FLOOR NEW YORK, NY 10007 |
X | X | Chief Executive Officer |
/s/ Nick Pizzie, Attorney-in-Fact | 09/16/2025 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options within the next year. |
(2) | Such transaction was pursuant to a pre-approved 10b5-1 plan. |
(3) | Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options. |
(4) | Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $117.81 and $122.54. |
(5) | Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $116.70 and $118.44. |
(6) | Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $113.01 and $116.10. |
(7) | Such shares are held by an entity, of which the reporting person has voting and dispositive power, and therefore, the reporting person is deemed to be the indirect beneficial owner of such shares. |