Welcome to our dedicated page for Axsome Therapeut SEC filings (Ticker: AXSM), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Axsome Therapeutics, Inc. filings document a CNS-focused biopharmaceutical company with commercial products, late-stage development programs and recurring regulatory events. Recent 8-K reports cover operating results, product revenue disclosures, business updates, FDA approval activity for AUVELITY, pipeline additions and corporate presentations.
The filing record also includes proxy materials addressing governance, director elections, executive compensation and equity awards. Other event filings document intellectual-property and litigation matters involving SUNOSI, material rights to development-stage assets, and disclosures tied to the company’s neurological and psychiatric treatment portfolio.
Axsome Therapeutics announced that the U.S. Food and Drug Administration has accepted for filing the New Drug Application (NDA) for AXS-12 (reboxetine) for the treatment of cataplexy in narcolepsy. The FDA set a Prescription Drug User Fee Act (PDUFA) target action date of May 1, 2027 and indicated it does not currently plan to hold an advisory committee meeting on the application.
AXS-12 is described as a highly selective and potent norepinephrine reuptake inhibitor and cortical dopamine modulator under development for narcolepsy and has U.S. Orphan Drug Designation. Narcolepsy is characterized by excessive daytime sleepiness and cataplexy, which occurs in an estimated 70% of patients and is linked to a 1.5-fold higher mortality rate.
Axsome Therapeutics CEO Herriot Tabuteau exercised stock options and sold the resulting shares in a pre-planned transaction. He exercised 49,666 stock options at a strike price of $4.95 per share and received an equal number of common shares.
On the same date, he sold 49,666 common shares in the open market at a weighted average price of $240.25 per share, with individual sale prices ranging from $237.64 to $244.71, under a pre-approved Rule 10b5-1 trading plan. Following these transactions, he holds 7,229 common shares directly and 7,344,500 shares indirectly through an entity over which he has voting and dispositive power. The filing notes the option exercise was necessary because the options were approaching their 10-year expiration date, and no derivative options from this grant remain outstanding.
AXSM filed a Form 144 notifying of a proposed sale of 49,666 shares of Common Stock. The shares were acquired as compensation (stock options) and the planned method is described as a cashless exercise / same-day sale using Goldman Sachs & Co. LLC as broker. The filing records prior sales by Herriot Tabuteau of 24,835 shares on 06/09/2026 with dollar amounts shown in the excerpt. The notice lists 07/01/2026 as a filing-related date and NASD as the market/brokerage association.
Axsome Therapeutics director Roger Jeffs sold 572 shares of common stock in two open-market transactions at prices of $246.18 and $249.12 per share. The sales were executed under a pre-approved Rule 10b5-1 trading plan and to cover taxes on the settlement of previously granted RSUs. After these transactions, he directly holds 58,367 shares.
Axsome Therapeutics, Inc. notice under Rule 144 reports intended sale of Common shares following a restricted stock lapse on 06/06/2026. The filing shows brokerage details at Charles Schwab & Co., Inc. and a prior sale of 70,407.00 shares on 06/10/2026.
The filing lists an address for Roger Jeffs and records transaction-related entries dated 06/11/2026 on NASDAQ. This form is an SEC notice of proposed sale under Rule 144 rather than a disclosure of a completed primary offering.
Axsome Therapeutics director Roger Jeffs reported a routine equity compensation event. On June 8, 2026, he exercised 1,429 restricted stock units, which converted into 1,429 shares of common stock on a one-for-one basis. These RSUs were granted on June 6, 2025 and vested after one year. Following the conversion, Jeffs directly holds 58,939 shares of Axsome common stock, and no shares were reported as sold in this filing.
Axsome Therapeutics director Mark E. Saad reported routine equity compensation activity. On June 8, 2026, he exercised 1,429 restricted stock units (RSUs), which converted into 1,429 shares of common stock at a stated price of $0.0000 per share.
These RSUs were originally granted on June 6, 2025 and fully vested on their one-year anniversary. Following the conversion, Saad directly holds 11,431 shares of Axsome common stock. He also indirectly holds 300 shares as custodian for his children's UTMA accounts.
Axsome Therapeutics director Susan Mahony reported RSU vesting and related share sales. On June 8, 2026, 1,429 restricted stock units converted into 1,429 shares of common stock, reflecting a compensation-related equity award granted on June 6, 2025 that fully vested after one year.
Subsequently, she sold 300 shares on June 9, 2026 at $237.21 per share and 300 shares on June 10, 2026 at $246.18 per share. Footnotes state these transactions were executed under a pre-approved Rule 10b5-1 trading plan and were made to cover taxes associated with the RSU settlement. Following the transactions, she directly holds 829 shares of Axsome Therapeutics common stock.
Axsome Therapeutics director Mark Coleman reported routine equity compensation activity and a small tax-related share sale. On June 8, 2026, 1,429 restricted stock units vested and converted into common stock on a one-for-one basis. On June 10, 2026, he sold 643 common shares in open-market transactions at a weighted average price of $249.00 per share to cover taxes associated with the RSU settlement, under a pre-approved Rule 10b5-1 trading plan that has now been completed. After these transactions, Coleman holds 30,389 common shares directly and 403,856 common shares indirectly through an entity over which he has voting and dispositive power.
Susan Mahony submitted a Rule 144 notice to sell 300 shares of Common Stock of Axsome Therapeutics, Inc.. The filing lists a Restricted Stock Lapse dated 06/06/2026 and a sale entry dated 06/09/2026, with Charles Schwab & Co., Inc. named as the broker.