[144] Axsome Therapeutics, Inc SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Axsome Therapeutics, Inc. (AXSM) records a proposed sale of 16,694 common shares through Charles Schwab & Co., Inc. on 08/22/2025 on NASDAQ with an aggregate market value of $2,004,598. The filing reports total shares outstanding of 49,901,487. The securities to be sold were acquired by exercise and hold on 09/16/2014 (3,672 shares), 11/19/2015 (9,127 shares) and 05/27/2016 (3,895 shares), each paid in cash. The form states there were no securities sold in the past three months for the account. Several header fields identifying the filer and issuer appear blank in the provided content.

Positive

• Proposed sale quantified: 16,694 shares with an aggregate market value of $2,004,598 and a clear sale date of 08/22/2025
• Acquisition history disclosed: Lot-level details showing exercises on 09/16/2014 (3,672), 11/19/2015 (9,127) and 05/27/2016 (3,895), paid in cash
• Broker identified: Charles Schwab & Co., Inc. listed as the broker for the transaction
• No recent sales: The filer reports no securities sold in the past three months for the account

Negative

• Missing identification fields: Filer CIK/CCC and issuer name/address details are blank or not present in the provided content, limiting verification
• Incomplete submission contact: Contact name, phone and email fields are empty in the supplied text

Insights

Securities Compliance Analyst

TL;DR: Standard Rule 144 notice with acquisition history and a single proposed sale; some identifying fields are missing.

The filing documents a proposed Nasdaq sale of 16,694 Axsome common shares valued at $2,004,598, with acquisition dates and amounts disclosed for each lot. The broker is named as Charles Schwab & Co., Inc. The form explicitly reports no sales in the prior three months, which supports aggregation rules under Rule 144. However, critical header data such as filer CIK and issuer name fields are not present in the provided content, which limits verification and tracking against EDGAR records.

Equity Research Associate

TL;DR: Presents useful transaction detail but lacks full filer/issuer identifiers, reducing immediate investor clarity.

The notice supplies specific lot-level acquisition dates and share counts, helping establish holding periods for Rule 144 eligibility. The aggregate market value and planned sale date are clear, allowing an investor to quantify the disclosed block. Missing filer and issuer identification in the supplied text prevents direct cross-reference to company filings or insider roster, which is an important gap for due diligence.

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	Charles Schwab & Co., Inc. 3000 Schwab Way Westlake TX 76262	16694	2004598.00	49901487	08/22/2025	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	09/16/2014	Exercise and Hold	Axsome Therapeutics, Inc.			3672	09/16/2014	Cash
Common	11/19/2015	Exercise and Hold	Axsome Therapeutics, Inc.			9127	11/19/2015	Cash
Common	05/27/2016	Exercise and Hold	Axsome Therapeutics, Inc.			3895	05/27/2016	Cash

* 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

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 the Form 144 for AXSM report?

The form reports a proposed sale of 16,694 common shares of Axsome Therapeutics (AXSM) on 08/22/2025 with aggregate market value of $2,004,598.

Which broker will handle the AXSM sale disclosed in the Form 144?

Charles Schwab & Co., Inc. is named as the broker in the filing.

When were the shares to be sold originally acquired?

Acquisition dates and amounts: 09/16/2014 (3,672), 11/19/2015 (9,127), 05/27/2016 (3,895); all reported as exercises paid in cash.

Has the filer sold any AXSM securities in the past three months?

No. The filing explicitly states there were no securities sold during the past three months for the account.

How many AXSM shares were outstanding per the filing?

49,901,487 shares outstanding as stated in the Form 144 content.