Axsome CFO granted 18,570 RSUs

Pizzie Nick reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Pizzie Nick reported acquisition or exercise transactions in this Form 4 filing.

Axsome Therapeutics, Inc. reported that its Chief Financial Officer, Nick Pizzie, received a grant of 18,570 Restricted Stock Units (RSUs) on February 26, 2026. Each RSU represents a contingent right to receive one share of Axsome common stock.

According to the award terms, 25% of the RSUs vest on the one-year anniversary of the grant date, with the remaining units vesting in three substantially equal annual installments so that all RSUs are fully vested by February 26, 2030. Vested shares will be delivered upon the earlier of a qualifying change in control, the CFO’s separation of service under specified conditions, or seven years from the grant date.

Insider Trade Summary

Grant/Award: 18,570 shares

Grant/Award 1 txn

Insider Pizzie Nick

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock Units	18,570	$0.00	$0.00

Holdings After Transaction: Restricted Stock Units — 18,570 contracts (Direct)

Footnotes (2)

1. F1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
2. F2. 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in three substantially equal annual installments, such that the RSUs will be fully vested on February 26, 2030. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2025 Long-Term Incentive Plan ("2025 Plan")), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the 2025 Plan), or termination due to death or Total and Permanent Disability (as defined in the 2025 Plan)), or (iii) seven (7) years from the date of grant.

FAQ

What insider transaction did Axsome Therapeutics (AXSM) report for its CFO?

Axsome reported that Chief Financial Officer Nick Pizzie received a grant of 18,570 restricted stock units. These RSUs are a form of equity compensation that can convert into shares of common stock if vesting and delivery conditions are met over time.

How many restricted stock units did the Axsome (AXSM) CFO receive?

The Chief Financial Officer received 18,570 restricted stock units. Each RSU represents a contingent right to one share of Axsome Therapeutics common stock, subject to a multi-year vesting schedule and specific conditions for when the vested shares are ultimately delivered.

What is the vesting schedule for the Axsome (AXSM) CFO’s 18,570 RSUs?

Twenty-five percent of the RSUs vest on the one-year anniversary of the grant date. The remaining units vest in three substantially equal annual installments, so the entire 18,570-unit award is fully vested by February 26, 2030, assuming continued service and conditions are satisfied.

When will the Axsome (AXSM) CFO receive shares from the granted RSUs?

Vested shares will be delivered at the earlier of three events: a qualifying change in control, the CFO’s separation of service under defined circumstances, or seven years from the grant date. These conditions are described in Axsome’s 2025 Long-Term Incentive Plan.

How does each RSU in the Axsome (AXSM) CFO grant convert into common stock?

Each restricted stock unit represents a contingent right to receive one share of Axsome common stock. Actual delivery of shares depends on both vesting over the four-year schedule and the occurrence of specified events such as change in control, separation of service, or the seven-year time trigger.

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Accepted by SEC EDGAR 02/27/2026 - 07:10 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Pizzie Nick

(Last) (First) (Middle)

C/O AXSOME THERAPEUTICS, INC.

ONE WORLD TRADE CENTER, 29TH FLOOR

(Street)

NEW YORK NY 10007

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Axsome Therapeutics, Inc. [ AXSM ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
02/26/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(1)	02/26/2026		A		18,570		(2)	02/26/2036	Common Stock	18,570	$0	18,570	D

Explanation of Responses:

1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

2. 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in three substantially equal annual installments, such that the RSUs will be fully vested on February 26, 2030. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's 2025 Long-Term Incentive Plan ("2025 Plan")), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the 2025 Plan), or termination due to death or Total and Permanent Disability (as defined in the 2025 Plan)), or (iii) seven (7) years from the date of grant.

	/s/ Nick Pizzie	02/27/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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