0001105806-17-000010.txt : 20170427 0001105806-17-000010.hdr.sgml : 20170427 20170427151207 ACCESSION NUMBER: 0001105806-17-000010 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170427 DATE AS OF CHANGE: 20170427 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Axsome Therapeutics, Inc. CENTRAL INDEX KEY: 0001579428 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 454241907 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-89198 FILM NUMBER: 17788528 BUSINESS ADDRESS: STREET 1: 25 BROADWAY, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212-203-5072 MAIL ADDRESS: STREET 1: 25 BROADWAY, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LYTTON LAURENCE W CENTRAL INDEX KEY: 0001105806 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 467 CPW CITY: NY STATE: NY ZIP: 10025 SC 13G 1 axsm.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Name of Issuer) AXSOME THERAPEUTICS INC (Title of Class of Securities) Common Stock (CUSIP Number) 05464T104 (Date of Event Which Requires Filing of this Statement) April 18, 2017 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ]Rule 13d-1(b) [ X ]Rule 13d-1(c) [ ]Rule 13d-1(d) CUSIP No. 05464T104 1.Names of Reporting Persons. Laurence W.Lytton 2. Check the Appropriate Box if a Member of a Group (See Instructions) a).......................................................................... (b).......................................................................... 3.SEC Use Only 4.Citizenship or Place of Organization USA 5.Sole Voting Power 1,269,292 6.Shared Voting Power 31,400 7.Sole Dispositive Power 1,269,292 8.Shared Dispositive Power 31,400 9.Aggregate Amount Beneficially Owned by Each Reporting Person 1,300,692 10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)................................. 11.Percent of Class Represented by Amount in Row (9) 5.5% 12.Type of Reporting Person (See Instructions) IN Item 1. (a)Name of Issuer AXSOME THERAPEUTICS INC (b)Address of Issuer's Principal Executive Offices 25 Broadway, 9th Fl New York, New York Item 2. (a)Name of Person Filing Laurence W. Lytton (b)Address of Principal Business Office or, if none, Residence 467 CPW N.Y., NY 10025 (c)Citizenship USA (d)Title of Class of Securities Common (e)CUSIP Number 05464T104 Item 3. not applicable Item 4.Ownership. (a)Amount beneficially owned: 1,300,692 consisting of 1,187,192 shares held by the reporting person, 74,100 held in the AWL Family LLC, 12,000 held in the IKL Trust, 5,000 held in the KLL Family Trust, and 22,400 shares held in other related accounts. (b)Percent of class: 5.5% (c)Number of shares as to which the person has: (i)Sole power to vote or to direct the vote 1,269,292. (ii)Shared power to vote or to direct the vote 31,400. (iii)Sole power to dispose or to direct the disposition of 1,269,292. (iv)Shared power to dispose or to direct the disposition of 31,400. Item 5.Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following ( ). Item 6.Ownership of More than Five Percent on Behalf of Another Person. Not applicable Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable Item 8.Identification and Classification of Members of the Group Not applicable Item 9.Notice of Dissolution of Group Not applicable Item 10.Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. ___4/27/17____________________________ Date ____s/ Laurence W. Lytton____________________________ Signature _____Laurence W. Lytton___________________________ Name/Title