SEC Form 4 · accession 0001104659-17-017647
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
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 5:04 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 | $4.95 | Mar 15, 2017 | A | 149,000 | A | — | Mar 14, 2027 | Common Stock | 149,000 | 149,000 | D |
Explanation of responses
- F1The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 15, 2021.