0001179110-19-011012.txt : 20191015 0001179110-19-011012.hdr.sgml : 20191015 20191015164328 ACCESSION NUMBER: 0001179110-19-011012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191010 FILED AS OF DATE: 20191015 DATE AS OF CHANGE: 20191015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pizzie Nick CENTRAL INDEX KEY: 0001742143 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37635 FILM NUMBER: 191151346 MAIL ADDRESS: STREET 1: 25 BROADWAY, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 200 BROADWAY, 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: (212) 332-3241 MAIL ADDRESS: STREET 1: 200 BROADWAY, 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10038 4 1 edgar.xml FORM 4 - X0306 4 2019-10-10 0 0001579428 Axsome Therapeutics, Inc. AXSM 0001742143 Pizzie Nick C/O AXSOME THERAPEUTICS, INC. 200 BROADWAY, 3RD FLOOR NEW YORK NY 10038 0 1 0 0 Chief Financial Officer Employee Stock Option (right to buy) 17.61 2019-10-10 4 A 0 25813 0 A 2029-10-09 Common Stock 25813 25813 D The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on October 10, 2023; provided, that the vesting of the option will be accelerated such that 100% of the option will become fully vested upon the achievement of certain clinical, operational, and/or other milestones (approved by the compensation committee) prior to, on, or about December 31, 2019. /s/ Nick Pizzie 2019-10-15