Changes in Beneficial Ownership · 4
Axsome Therapeutics, Inc.
AXSMNASDAQEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
ownership.xml
Filing details
- Report period
- 2026-07-01
- Issuer
- Axsome Therapeutics, Inc.
- Issuer CIK
- 0001579428
- Trading symbol
- AXSM
- Rule 10b5-1 indication
- Checked
Reporting owner 1
- Name
- TABUTEAU HERRIOT
- Reporting owner CIK
- 0001219927
- Relationship
- Director · Officer · 10% owner
- Officer title
- Chief Executive Officer
- Address
- C/O AXSOME THERAPEUTICS, INC., ONE WORLD TRADE CENTER, 29TH FLOOR, NEW YORK, NY, 10007
Non-derivative transactions
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 2026-07-01 | M · Form 4[F1][F2] | 49,666 | A | 4.95 | 56,895 | D |
| Common Stock | 2026-07-01 | S · Form 4[F2][F3] | 49,666 | D | 240.25[F4] | 7,229 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- A
- Acquired
- D
- Direct
- S · Form 4
- Sale on the market or privately
Non-derivative holdings
| Security | Amount owned | Ownership | Nature of ownership |
|---|---|---|---|
| Common Stock | 7,344,500 | I | See Footnote[F5] |
Table key
- I
- Indirect
Derivative transactions
| Security | Conversion / exercise price (USD) | Transaction date | Code | Amount | A / D | Price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Owned after | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | 240.25 | 2026-07-01 | M · Form 4[F1][F2] | 49,666 | D | 0.00 | 2018-03-15 | 2027-03-15 | Common Stock | 49,666 | 49,664 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- D
- Direct
Footnotes
- F1
- Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.↩ 1↩ 2
- F3
- Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.↩ 1
- F4
- Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $237.64 and $244.71.↩ 1
- F5
- 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.↩ 1
Signature 1
- Signed
- /s/ Nick Pizzie, Attorney-in-Fact
- Date
- 2026-07-01
Company context
Axsome Therapeutics is a biopharmaceutical company leading a new era in the treatment of central nervous system (CNS) conditions. We deliver scientific breakthroughs by identifying critical gaps in care and develop differentiated products with a focus on novel mechanisms of action that enable meaningful advancements in patient outcomes. Our industry-leading neuroscience portfolio includes FDA-approved treatments for major depressive disorder, agitation associated with dementia due to Alzheimer’s disease, excessive daytime sleepiness associated with narcolepsy and obstructive sleep apnea, and migraine, as well as multiple novel product candidates addressing a broad range of serious neurological and psychiatric conditions that impact over 150 million people in the United States. Together, we are on a mission to solve some of the brain’s biggest problems so patients and their loved ones can flourish. For more information, please visit us at www.axsome.com and follow us on LinkedIn and X.