SEC Form 4 · accession 0001193125-26-264035
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
Jun 9, 2026
Accepted (ET)
Jun 9, 2026 · 5:17 pm EDT
Rule 10b5-1 plan
yes — trade under a plan
Issuer CIK
0001579428
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF5 | Jun 9, 2026 | M | 33,000 | $3.50 | A | 75,867 | D | |
| Common StockF4,F5 | Jun 9, 2026 | S | 33,000 | $240.09 | D | 42,867 | D | |
| Common StockF6 | holding | — | — | — | 488 | I | See explanation 6 below. |
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) | $3.50 | Jun 9, 2026 | M | 33,000 | D | May 16, 2019 | May 16, 2028 | Common Stock | 33,000 | 72,000 | D |
Explanation of responses
- F1Represents an exercise of stock options which was held for over 8 years and exercised prior to the 10-year expiration date of such options.
- F2Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.
- F3Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.
- F4Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $236.46 and $242.35.
- F5Includes the prior purchase of shares of common stock pursuant to the Issuer's Employee Stock Purchase Plan.
- F6Represents additional shares indirectly beneficially owned by the reporting person as custodian for his children's UTMA accounts.