0000950170-24-032432.txt : 20240315 0000950170-24-032432.hdr.sgml : 20240315 20240315200527 ACCESSION NUMBER: 0000950170-24-032432 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240314 FILED AS OF DATE: 20240315 DATE AS OF CHANGE: 20240315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JEFFS ROGER CENTRAL INDEX KEY: 0001231615 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37635 FILM NUMBER: 24756605 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Axsome Therapeutics, Inc. CENTRAL INDEX KEY: 0001579428 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 454241907 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE WORLD TRADE CENTER, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: (212) 332-3241 MAIL ADDRESS: STREET 1: ONE WORLD TRADE CENTER, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 4 1 ownership.xml 4 X0508 4 2024-03-14 0001579428 Axsome Therapeutics, Inc. AXSM 0001231615 JEFFS ROGER C/O AXSOME THERAPEUTICS, INC. ONE WORLD TRADE CENTER, 22ND FLOOR NEW YORK NY 10007 true false false false true Common Stock 2024-03-14 4 M false 13000 22.03 A 133756 D Common Stock 2024-03-14 4 S false 13000 69.702 D 120756 D Common Stock 2024-03-14 4 M false 16976 25.53 A 137732 D Common Stock 2024-03-14 4 S false 16976 69.702 D 120756 D Common Stock 2024-03-15 4 M false 2347 29.91 A 123103 D Common Stock 2024-03-15 4 S false 2347 71.6072 D 120756 D Common Stock 46912 I GRAT Stock Option (Right to Buy) 22.03 2024-03-14 4 M false 13000 0.00 D 2020-06-07 2029-06-07 Common Stock 13000 0 D Stock Option (Right to Buy) 25.53 2024-03-14 4 M false 16976 0.00 D 2023-06-03 2032-06-03 Common Stock 16976 0 D Stock Option (Right to Buy) 29.91 2024-03-15 4 M false 2347 0.00 D 2022-03-04 2032-03-04 Common Stock 2347 0 D Represents an exercise of stock options. Such transaction was pursuant to a pre-approved 10b5-1 plan. Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options. Represents additional shares held indirectly by the Reporting Person prior to March 14, 2023. /s/ Herriot Tabuteau, M.D., Attorney-in-Fact 2024-03-15