SEC Form 4 · accession 0001193125-26-382277
Axsome Therapeutics, Inc. · AXSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark L. Jacobson
Officer — Chief Operating Officer
Period of report
Sep 3, 2026
Accepted (ET)
Sep 3, 2026 · 7:09 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 | Sep 3, 2026 | M | 10,000 | $12.95 | A | 10,000 | D | |
| Common StockF4 | Sep 3, 2026 | S | 10,000 | $208.65 | D | 0 | 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) | $12.95 | Sep 3, 2026 | M | 10,000 | D | Mar 19, 2020 | Mar 19, 2029 | Common Stock | 10,000 | 104,954 | D |
Explanation of responses
- F1Represents an exercise of stock options which were held for 7 years and exercised prior to the 10 year expiration date of such options.
- F2Such transaction was pursuant to a pre-approved 10b5-1 plan.
- 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 $206.41 and $210.34.