Filing Details
- Accession Number:
- 0000950170-25-021716
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2025-02-14 21:20:36
- Reporting Period:
- 2025-02-13
- Filing Date:
- 2025-02-14
- Accepted Time:
- 2025-02-14 21:20:36
- 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 |
|---|---|---|---|---|---|---|---|
| 1742143 | Nick Pizzie | C/O Axsome Therapeutics, Inc. One World Trade Center, 22Nd Floor New York NY 10007 | Chief Financial Officer | 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 | 2025-02-13 | 12,000 | $3.50 | 54,187 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2025-02-13 | 12,000 | $129.86 | 42,187 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2025-02-14 | 3,000 | $3.50 | 45,187 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2025-02-14 | 3,000 | $131.07 | 42,187 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2025-02-13 | 12,000 | $3.50 | 12,000 | $3.50 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2025-02-14 | 3,000 | $3.50 | 3,000 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-05-16 | 2028-05-16 | No | 4 | M | Direct |
| 0 | 2019-05-16 | 2028-05-16 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 488 | Indirect | See explanation 6 below. |
Footnotes
- Represents an exercise of stock options which was held for 7 years and exercised prior to the 10 year expiration date of such options.
- Such transaction was pursuant to a pre-approved 10b5-1 plan which has now been completed.
- Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.
- Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $128.50 and $131.64.
- Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $130.06 and $131.72.
- Represents additional shares indirectly beneficially owned by the reporting person as custodian for his children's UTMA accounts.
Billionaire Hedge Funds
