SEC Form 4 · accession 0001104659-17-017645
Axsome Therapeutics, Inc. · AXSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Jeffs
Director
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 5:03 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $4.95 | Mar 15, 2017 | A | 35,194 | A | Mar 15, 2017 | Mar 14, 2027 | Common Stock | 35,194 | 35,194 | D |
| Stock Option (Right to Buy)F2 | $4.95 | Mar 15, 2017 | A | 11,000 | A | Mar 15, 2018 | Mar 14, 2027 | Common Stock | 11,000 | 11,000 | D |
Explanation of responses
- F1Represents 11,000 options granted as compensation for service during 2016 and 24,194 options elected to be received in lieu of cash compensation earned in 2016. All of such options are immediately exercisable.
- F2The option vests in full on the one-year anniversary of the date of grant, March 15, 2018.