SEC Form 4 · accession 0001104659-15-080795
Axsome Therapeutics, Inc. · AXSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Constance Ames
Officer — Vice President, Finance
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 4:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001579428
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $6.47 | Nov 19, 2015 | A | 40,673 | A | — | Sep 14, 2025 | Common Stock | 40,673 | 40,673 | D |
Explanation of responses
- F1This option was granted on September 15, 2015. The option vests based upon performance criteria that were met on November 19, 2015, resulting in the vesting of 3,389 shares underlying the option. The remaining shares underlying the option will vest in substantially equal quarterly installments such that the option will be fully vested on August 19, 2018.