Filing Details
- Accession Number:
- 0001209191-23-049648
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-09-15 18:30:32
- Reporting Period:
- 2023-09-15
- Accepted Time:
- 2023-09-15 18:30:32
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1579428 | Axsome Therapeutics Inc. | AXSM | Pharmaceutical Preparations (2834) | 454241907 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1658379 | Mark Coleman | C/O Axsome Therapeutics, Inc. One World Trade Center, 22Nd Floor New York NY 10007 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-09-15 | 11,016 | $3.67 | 36,113 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-09-15 | 11,016 | $75.19 | 25,097 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-09-15 | 18,572 | $75.18 | 403,856 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-09-15 | 11,016 | $0.00 | 11,016 | $3.67 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-09-16 | 2024-09-16 | No | 4 | M | Direct |
Footnotes
- 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.
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