SEC Form 4 · accession 0001104659-17-020391
Axsome Therapeutics, Inc. · AXSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Jeffs
Director
Period of report
Mar 29, 2017
Accepted (ET)
Mar 30, 2017 · 4:31 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001579428
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 29, 2017 | M | 7,344 | $3.67 | A | 11,718 | D | |
| Common Stock | Mar 29, 2017 | M | 35,194 | $4.95 | A | 46,912 | D |
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 | $3.67 | Mar 29, 2017 | M | 7,344 | D | — | Sep 15, 2024 | Common Stock | 7,344 | 3,672 | D |
| Stock Option (Right to Buy) | $4.95 | Mar 29, 2017 | M | 35,194 | D | Mar 15, 2017 | Mar 14, 2027 | Common Stock | 35,194 | 0 | D |
Explanation of responses
- F1This option was granted on September 16, 2014 and is currently vested and exercisable with respect to 7,344 shares underlying the option. The remaining 3,672 shares underlying the unvested portion of the option will be fully vested on September 16, 2017.