AXSM affiliate plans sale of 35,378 Class A shares

AXSM affiliate intends to sell 35,378 shares of Class A Common stock on 02/26/2026.

Rhea-AI Filing Summary

AXSM affiliate intends to sell 35,378 shares of Class A Common stock on 02/26/2026. The shares were acquired as compensation (stock options) and the planned method is a cashless exercise / same-day sale through Goldman Sachs & Co. LLC.

Insights

Securities Counsel

Routine affiliate sale notice for compensation shares via cashless exercise.

The filing lists a proposed sale of 35,378 shares of Class A Common acquired as compensation through stock options, with the sale method stated as a cashless exercise / same-day sale. The broker is Goldman Sachs & Co. LLC.

Such notices are administrative disclosures required before sale; actual sale execution and proceeds depend on the holder's actions and market execution details not provided here.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does AXSM's Form 144 report?

It reports a proposed sale of 35,378 Class A Common shares by an affiliate on 02/26/2026. The filing states the shares were acquired as compensation (stock options) and the sale method is a cashless exercise / same-day sale.

Who is handling the sale of AXSM shares?

The filing lists Goldman Sachs & Co. LLC as the broker for the transaction. The notice names the broker and the planned sale mechanism but does not provide execution results or proceeds in this excerpt.

Did AXSM receive proceeds from this sale according to the filing?

The excerpt does not state who receives proceeds. It lists the sale method as a cashless exercise / same-day sale, which often results in net share settlement, but the filing does not disclose cash-flow treatment in the provided excerpt.

Why was Form 144 filed for these AXSM shares?

Form 144 is filed when affiliates plan to sell restricted or control securities. Here it notifies of a proposed sale of 35,378 shares acquired via stock options, enabling the broker to accept sale orders under applicable rules.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 02/26/2026 - 04:53 PM EST Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001805812
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	Axsome Therapeutics, Inc.
SEC File Number	001-37635
Address of Issuer	One World Trade Center 29th Floor New York NEW YORK 10007
Phone	1-212-332-3241
Name of Person for Whose Account the Securities are To Be Sold	Mark Jacobson
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Class A Common	Goldman Sachs & Co. LLC 200 West Street New York NY 10282	35378	5773335.82	51153289	02/26/2026	NASD

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Class A Common	02/26/2026	Acquired as compensation -- Stock Options	Issuer			35378	02/26/2026	Compensation -- Cashless exercise / same-day sale

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks	The sales of shares set forth herein are made in connection with a selling plan dated 11/10/2025, that is intended to comply with Rule 10b5-1(c).
Date of Notice	02/26/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	11/10/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Goldman Sachs & Co. LLC on behalf of Mark Jacobson
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)