SEC Form 4 · accession 0001104659-18-036457
Axsome Therapeutics, Inc. · AXSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nick Pizzie
Officer — Chief Financial Officer
Period of report
May 16, 2018
Accepted (ET)
May 29, 2018 · 5:32 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 | $3.50 | May 16, 2018 | A | 132,000 | A | — | May 16, 2028 | Common Stock | 132,000 | 132,000 | D |
Explanation of responses
- F1The reporting person was granted stock options pursuant to the Issuer's 2015 Omnibus Incentive Plan. The stock options vest 25% on the first anniversary of the date of grant and 75% in equal increments on a quarterly basis for three years thereafter.