0001209191-23-049648.txt : 20230915 0001209191-23-049648.hdr.sgml : 20230915 20230915183032 ACCESSION NUMBER: 0001209191-23-049648 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230915 FILED AS OF DATE: 20230915 DATE AS OF CHANGE: 20230915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Coleman Mark CENTRAL INDEX KEY: 0001658379 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37635 FILM NUMBER: 231259775 MAIL ADDRESS: STREET 1: 25 BROADWAY STREET 2: 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: 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 doc4.xml FORM 4 SUBMISSION X0508 4 2023-09-15 0 0001579428 Axsome Therapeutics, Inc. AXSM 0001658379 Coleman Mark C/O AXSOME THERAPEUTICS, INC. ONE WORLD TRADE CENTER, 22ND FLOOR NEW YORK NY 10007 1 0 0 0 1 Common Stock 2023-09-15 4 M 0 11016 3.67 A 36113 D Common Stock 2023-09-15 4 S 0 11016 75.1853 D 25097 D Common Stock 2023-09-15 4 S 0 18572 75.1771 D 403856 I See Footnote Stock Option (Right to Buy) 3.67 2023-09-15 4 M 0 11016 0.00 D 2015-09-16 2024-09-16 Common Stock 11016 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. Such 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. /s/ Herriot Tabuteau, M.D., Attorney-in-Fact 2023-09-15