SEC Form 4 · accession 0001104659-16-124832
Axsome Therapeutics, Inc. · AXSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herriot Tabuteau
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
May 27, 2016
Accepted (ET)
Jun 1, 2016 · 4:02 pm EDT
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,F2 | $8.02 | May 27, 2016 | A | 524,000 | A | — | May 26, 2026 | Common Stock | 524,000 | 524,000 | D |
Explanation of responses
- F1Represents 375,000 options granted as an initial employment grant and 149,000 options granted as an annual grant.
- F2The option will vest in substantially equal quarterly installments such that the option will be fully vested on May 27, 2020.