SEC Form 4 · accession 0001193125-26-340688
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
Aug 5, 2026
Accepted (ET)
Aug 7, 2026 · 7:00 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 Stock | Aug 5, 2026 | M | 45,004 | $4.95 | A | 52,233 | D | |
| Common StockF4 | Aug 5, 2026 | S | 45,004 | $212.01 | D | 7,229 | D | |
| Common Stock | Aug 6, 2026 | M | 4,660 | $4.95 | A | 11,889 | D | |
| Common StockF5 | Aug 6, 2026 | S | 4,660 | $213.95 | D | 7,229 | D | |
| Common StockF6 | holding | — | — | — | 7,344,500 | I | See Footnote |
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) | $212.01 | Aug 5, 2026 | M | 45,004 | D | Mar 15, 2018 | Mar 15, 2027 | Common Stock | 45,004 | 4,660 | D |
| Stock Option (Right to Buy) | $213.95 | Aug 6, 2026 | M | 4,660 | D | Mar 15, 2018 | Mar 15, 2027 | Common Stock | 4,660 | 0 | D |
Explanation of responses
- F1Necessary exercise of stock options set to expire due to attainment of 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 $209.28 and $216.35.
- F5Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $212.41 and $216.36.
- F6Such shares are held by an entity, of which the reporting person has voting and dispositive power, and therefore, the reporting person is deemed to be the indirect beneficial owner of such shares.