Axsome Therapeutics (NASDAQ: AXSM) insider plans 32,410-share sale

Rhea-AI Filing Summary

Axsome Therapeutics insider plans to sell common stock. A Form 144 notice reports a proposed sale of 32,410 shares of Axsome Therapeutics common stock through Goldman Sachs & Co. LLC, with an aggregate market value of 6,024,370.8, to be sold on or about 02/02/2026 on NASD.

The shares were acquired on 05/27/2016 as compensation via stock options and will be disposed of through a cashless exercise and same-day sale. The filing lists 50,412,640 common shares outstanding and details additional common stock sales by Herriot Tabuteau over the past three months.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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
Common Stock	Goldman Sachs & Co. LLC 200 West Street New York NY 10282	32410	6024370.8	50412640	02/02/2026	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 *
Common Stock	05/27/2016	Acquired as compensation -- Stock Options	The Issuer			32410	05/27/2016	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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	01/05/2026	36783	6253407.94
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/03/2025	89824	11902021.33
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	12/02/2025	41920	6079988.77
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	01/05/2026	41920	7227116.99
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/03/2025	1881	234586.66
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	12/02/2025	7332	1041388.89
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/04/2025	35936	4829129.99
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/04/2025	14523	1921808.26
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	11/05/2025	21775	2928452.25
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	12/03/2025	20163	2962674.6
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	12/04/2025	10558	1564458.05
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	01/06/2026	29450	5074991.87
Herriot Tabuteau One World Trade Center 29th Floor New York NY 10007	Common Stock	01/07/2026	31261	5326211.67

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Axsome Therapeutics (AXSM) disclose in this Form 144 filing?

The filing discloses a planned sale of 32,410 shares of Axsome Therapeutics common stock. The shares, valued at 6,024,370.8 in total, are expected to be sold on or about 02/02/2026 through Goldman Sachs & Co. LLC on NASD.

How many Axsome Therapeutics (AXSM) shares are planned to be sold and through which broker?

The notice covers a planned sale of 32,410 common shares of Axsome Therapeutics. The broker listed is Goldman Sachs & Co. LLC, located at 200 West Street, New York, NY 10282, with the sale expected to occur on NASD around 02/02/2026.

How were the Axsome Therapeutics (AXSM) shares in this Form 144 originally acquired?

The 32,410 Axsome Therapeutics shares were acquired as compensation on 05/27/2016 via stock options. The filing states they will be disposed of using a cashless exercise and same-day sale structure, meaning option exercise and sale occur together for compensation purposes.

What aggregate market value is associated with the Axsome Therapeutics (AXSM) shares to be sold?

The Form 144 lists an aggregate market value of 6,024,370.8 for the 32,410 Axsome Therapeutics common shares to be sold. This value reflects the total market worth of the shares covered by this specific notice at the time of the filing’s preparation.

How many Axsome Therapeutics (AXSM) shares are reported outstanding in this notice?

The filing reports 50,412,640 Axsome Therapeutics common shares outstanding. This figure provides context for the relative size of the 32,410-share planned sale disclosed, but it is a baseline capital structure number rather than an amount being sold under this notice.

What recent Axsome Therapeutics (AXSM) stock sales by Herriot Tabuteau are listed?

The document lists multiple recent common stock sales by Herriot Tabuteau over the past three months. Examples include 89,824 shares sold on 11/03/2025 for 11,902,021.33 and 41,920 shares sold on 12/02/2025 for 6,079,988.77 in gross proceeds.