Axsome Therapeut SEC Filings

Axsome Therapeutics, Inc. (AXSM) submitted a Rule 144 notice reporting a proposed sale of 12,774 shares of common stock through Goldman Sachs & Co. LLC, with an aggregate market value of $1,516,401.54. The filer reports the shares were acquired on 05/27/2016 as compensation via stock options and that the planned sale method is a cashless exercise/same-day sale.

The form also lists multiple sales by the same person during the past three months: 09/12/2025 (27,907 shares), 09/15/2025 (15,254 shares), 09/16/2025 (19,719 shares), 10/06/2025 (19,220 shares), and 10/07/2025 (13,390 shares), with individual gross proceeds shown for each transaction. The notice includes the required certification that the seller is not aware of material nonpublic information about the issuer.

Axsome Therapeutics, Inc. insider filing reports a proposed sale of 13,390 shares of common stock through Goldman Sachs & Co. LLC with an aggregate market value of $1,588,589.60, intended for sale on 10/07/2025. The filing states there are 49,901,487 shares outstanding, and the shares to be sold were acquired on 05/27/2016 as compensation via stock options with a cashless exercise/same-day sale payment.

The notice also discloses multiple insider sales in the prior three months by Herriot Tabuteau: 19,220 shares on 10/06/2025, 27,907 on 09/12/2025, 15,254 on 09/15/2025, and 19,719 on 09/16/2025, totaling 82,100 shares and gross proceeds shown in the filing. The filer affirms no undisclosed material nonpublic information and references Rule 144 procedures.

Notice of proposed sale of common stock by an insider. The filing reports a proposed sale of 19,220 shares of common stock through Goldman Sachs & Co. LLC with an aggregate market value of $2,305,246.80. The filer indicates the shares were originally acquired on 05/27/2016 as compensation via stock options and were exercised in a cashless exercise / same-day sale on the acquisition date. The issuer shows 49,901,487 shares outstanding and the proposed sale date is 10/06/2025. The filing also discloses three recent open-market sales by the same person in 09/2025 totaling 62,880 shares for gross proceeds of $7,105,964.54. The signer affirms they are not aware of undisclosed material adverse information and references Rule 10b5-1 procedures, though no plan adoption date is provided.

Mark L. Jacobson, Chief Operating Officer and director of Axsome Therapeutics (AXSM), reported option exercise and a subsequent sale on 09/22/2025. He exercised 10,000 stock options with an exercise price of $2.85 per share, acquiring 10,000 shares. Those shares were then sold in open market transactions at a weighted average price of $115.96 per share, leaving him with 0 shares beneficially owned following the transactions. The filing states the exercise was necessary because the options were reaching their 10-year expiration and that both the exercise and sale were made pursuant to a pre-approved Rule 10b5-1 plan which has now completed.

Axsome Therapeutics, Inc. (AXSM) Form 144 notice reports a proposed sale of 10,000 common shares through Charles Schwab with an aggregate market value of $1,159,571, based on approximately 49,901,487 shares outstanding. The shares were acquired on 09/22/2025 through an employee stock option exercise and the payment method is listed as a broker payment for cashless exercise. The filing also discloses a prior sale by Mark L. Jacobson of 45,783 shares on 09/16/2025 generating $5,241,305 in gross proceeds. The filer affirms no undisclosed material adverse information and includes standard Rule 144 representations.

Mark L. Jacobson, Chief Operating Officer of Axsome Therapeutics, Inc. (AXSM), reported option exercises and open-market sales on 09/16/2025. He exercised two stock option grants: 25,000 shares at $4.95 (issued 03/15/2018) and 15,000 shares at $4.85 (issued 09/13/2018), generating 40,000 underlying shares. All 40,000 shares were subsequently sold in open-market transactions under a pre-approved 10b5-1 plan for weighted average prices of $116.19 and $114.23, resulting in no shares owned following the sales. The exercises were necessary due to the options approaching their 10-year expiration.

Axsome Therapeutics insider activity by Herriot Tabuteau: The reporting person, who is CEO, director and a 10% owner, executed option exercises on 09/12/2025, 09/15/2025 and 09/16/2025 to purchase in aggregate 62,880 shares at exercise prices of $118.96, $117.37 and $114.19 respectively, under options originally granted 05/27/2017 and exercisable through 05/27/2026. Those exercises were followed by open-market sales of the same underlying shares pursuant to a pre-approved 10b5-1 plan, with weighted-average sale prices ranging roughly $113.01 to $122.54. The filer reports indirect beneficial ownership of 7,344,500 shares through an entity for which he has voting and dispositive power.

Axsome Therapeutics, Inc. (AXSM) filed a Form 144 reporting a proposed sale of 45,783 common shares with an aggregate market value of $5,241,305.00. The filing lists Charles Schwab & Co., Inc. as the broker and names NASDAQ as the exchange, with an approximate sale date of 09/16/2025. The seller acquired 5,783 shares on 05/29/2024 via exercise and hold paid in cash, and 40,000 shares on 09/16/2025 via an employee stock option exercise using a broker cashless exercise. The filer certifies no undisclosed material adverse information.

Axsome Therapeutics (AXSM) reported a Form 144 notice showing a proposed sale of 19,719 shares of common stock through Goldman Sachs & Co. LLC, with an aggregate market value of $2,249,937.90, and an approximate sale date of 09/16/2025 on NASD. The securities were acquired on 05/27/2016 as compensation via stock options and the stated payment method is a cashless exercise/same-day sale. The filing also discloses two prior sales by the same person within the past three months: 27,907 shares sold on 09/12/2025 for $3,319,894.86 and 15,254 shares sold on 09/15/2025 for $1,790,378.76. The filer affirms no undisclosed material adverse information.