Axsome (AXSM) Rule 144: Restricted Shares Lapse

Axsome Therapeutics, Inc. notice under Rule 144 reports intended sale of Common shares following a restricted stock lapse on 06/06/2026.

Rhea-AI Filing Summary

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.

Insights

Securities Compliance Counsel

Rule 144 notice documents planned resale of restricted common shares.

Rule 144 filings notify the market of an intent to sell restricted or control securities once resale conditions are met. This filing records a restricted stock lapse dated 06/06/2026 and a recent disposition of 70,407.00 shares on 06/10/2026.

Timing and final sale mechanics depend on meeting Rule 144 conditions; the filing itself does not confirm a completed block trade or the proceeds received. Subsequent SEC filings or broker reports may show actual sales activity.

Key Figures

Restricted stock lapse date: 06/06/2026 Shares sold in past 3 months: 70,407.00 shares Filing date reference: 06/11/2026 +3 more

6 metrics

Restricted stock lapse date 06/06/2026 Date of restricted stock lapse

Shares sold in past 3 months 70,407.00 shares Securities Sold During The Past 3 Months on 06/10/2026

Filing date reference 06/11/2026 Date shown with securities/issuer information

Brokerage firm listed Charles Schwab & Co., Inc. Broker/depository shown with address

Share quantity field (additional) 71,248.00 Numeric entry in securities information block

Outstanding/aggregate field 51,459,766 Numeric entry in issuer/securities information block

Key Terms

Rule 144, Restricted stock lapse, Securities Sold During The Past 3 Months

3 terms

Rule 144 regulatory

"Restricted Stock Lapse | Axsome Therapeutics, Inc."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Restricted stock lapse financial

"Securities To Be Sold 06/06/2026 Restricted Stock Lapse"

Securities Sold During The Past 3 Months regulatory

"Securities Sold During The Past 3 Months 06/10/2026 70,407.00"

FAQ

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

What does the AXSM Rule 144 filing announce?

It announces intent to sell common shares after a restricted stock lapse on 06/06/2026. The form signals a planned resale under Rule 144 conditions, not a completed primary offering.

How many shares were reported sold recently in the filing?

The filing records 70,407.00 shares sold on 06/10/2026. This appears under "Securities Sold During The Past 3 Months."

Who is listed as the holder or contact in the AXSM filing?

An address block names Roger Jeffs at One World Trade Center, 29th Floor, New York, NY. The filing also lists Charles Schwab & Co., Inc. as the broker.

Does this filing state proceeds or pricing for the shares?

The excerpt does not state sale proceeds or per‑share price. The form records quantities and dates but does not disclose cash amounts.

What exchange and filing date appear in the document?

The filing shows NASDAQ and a date entry of 06/11/2026 associated with the securities information.

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

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Accepted by SEC EDGAR 06/11/2026 - 05:09 PM EDT 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	0001231615
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	(212) 332-3241
Name of Person for Whose Account the Securities are To Be Sold	JEFFS ROGER
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	Director

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	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	286	71248.00	51459766	06/11/2026	NASDAQ

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	06/06/2026	Restricted Stock Lapse	Axsome Therapeutics, Inc.			286	06/06/2026	Equity Compensation

* 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
ROGER JEFFS ONE WORLD TRADE CENTER, 29TH FLOOR NEW YORK NY 10007	Axsome Therapeutics, Inc.	06/10/2026	286	70407.00

144: Remarks and Signature

Remarks
Date of Notice	06/11/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	02/27/2026
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	ROGER JEFFS
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)