Filing Details
- Accession Number:
- 0000950170-24-032432
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-03-15 20:05:27
- Reporting Period:
- 2024-03-14
- Accepted Time:
- 2024-03-15 20:05:27
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1579428 | Axsome Therapeutics Inc. | AXSM | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1231615 | Roger Jeffs | C/O Axsome Therapeutics, Inc. One World Trade Center, 22Nd Floor New York NY 10007 | No | 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 | 2024-03-14 | 13,000 | $22.03 | 133,756 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-03-14 | 13,000 | $69.70 | 120,756 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2024-03-14 | 16,976 | $25.53 | 137,732 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-03-14 | 16,976 | $69.70 | 120,756 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2024-03-15 | 2,347 | $29.91 | 123,103 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2024-03-15 | 2,347 | $71.61 | 120,756 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2024-03-14 | 13,000 | $0.00 | 13,000 | $22.03 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2024-03-14 | 16,976 | $0.00 | 16,976 | $25.53 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2024-03-15 | 2,347 | $0.00 | 2,347 | $29.91 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-06-07 | 2029-06-07 | No | 4 | M | Direct |
| 0 | 2023-06-03 | 2032-06-03 | No | 4 | M | Direct |
| 0 | 2022-03-04 | 2032-03-04 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 46,912 | Indirect | GRAT |
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.
- Represents additional shares held indirectly by the Reporting Person prior to March 14, 2023.
Billionaire Hedge Funds
