Axsome director granted 1,721 RSUs

Axsome Therapeutics director Roger Jeffs reported a stock-based compensation grant.

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Form Type

Rhea-AI Filing Summary

Axsome Therapeutics director Roger Jeffs reported a stock-based compensation grant. He received 1,721 restricted stock units, each representing a contingent right to receive one share of Axsome common stock, at a price of $0.00 per unit.

The RSUs vest in full on the one-year anniversary of the grant date. Following this grant, Jeffs directly holds 1,721 RSUs, which will convert into the same number of common shares if and when they vest and settle.

Insider Trade Summary

Grant/Award: 1,721 shares

Grant/Award 1 txn

Insider JEFFS ROGER

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock Units	1,721	$0.00	$0.00

Holdings After Transaction: Restricted Stock Units — 1,721 contracts (Direct)

Footnotes (2)

F1. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
F2. The RSUs vest in full on the one-year anniversary of the date of grant.

Key Figures

RSUs granted: 1,721 units Underlying common shares: 1,721 shares Grant price per RSU: $0.00 per unit +1 more

4 metrics

RSUs granted 1,721 units Grant to director Roger Jeffs

Underlying common shares 1,721 shares One share per RSU

Grant price per RSU $0.00 per unit Stock-based compensation, not a purchase

Post-transaction RSU holdings 1,721 units Directly held after grant

Key Terms

Restricted Stock Units, RSU, Form 4

3 terms

Restricted Stock Units financial

"security_title: "Restricted Stock Units" and related grant details"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

RSU financial

"Each restricted stock unit ("RSU") represents a contingent right to receive one share"

Restricted stock units (RSUs) are a form of company shares given to employees as part of their compensation, usually with certain restrictions or conditions, such as remaining with the company for a set period. When these restrictions lift, employees receive actual shares that they can sell or hold. For investors, RSUs can impact a company's stock supply and reflect the company's commitment to attracting and retaining talent.

Form 4 regulatory

"INSIDER FILING DATA (Form 4)"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

FAQ

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

What did Axsome Therapeutics (AXSM) director Roger Jeffs report on this Form 4?

Roger Jeffs reported receiving 1,721 restricted stock units as stock-based compensation. These RSUs are a contingent right to receive an equal number of Axsome common shares, rather than an open-market purchase or sale of stock.

How many restricted stock units were granted to Axsome (AXSM) director Roger Jeffs?

Roger Jeffs was granted 1,721 restricted stock units. Each RSU represents a contingent right to receive one share of Axsome Therapeutics common stock, providing equity-based compensation that can convert into shares if the vesting conditions are satisfied.

When do Roger Jeffs’ Axsome (AXSM) restricted stock units vest?

The restricted stock units granted to Roger Jeffs vest in full on the one-year anniversary of the grant date. Once vested, each unit can deliver one share of Axsome’s common stock, subject to the company’s settlement procedures.

Are Roger Jeffs’ Axsome (AXSM) RSUs an open-market stock purchase?

No, the transaction reflects a grant of 1,721 restricted stock units as compensation, not an open-market stock purchase. The RSUs carry a grant price of $0.00 per unit and represent future rights to receive common shares upon vesting.

How many Axsome (AXSM) equity units does Roger Jeffs hold after this Form 4?

After this transaction, Roger Jeffs directly holds 1,721 restricted stock units. Each RSU equals a contingent right to one share of Axsome common stock, meaning his reported derivative holdings align with this granted amount, subject to future vesting.

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Accepted by SEC EDGAR 06/09/2026 - 05:15 PM EDT

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^*

JEFFS ROGER

(Last)

(First)

(Middle)

C/O AXSOME THERAPEUTICS, INC.

ONE WORLD TRADE CENTER, 29TH FLOOR

(Street)

NEW YORK

10007

(City)

(State)

(Zip)

UNITED STATES

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/05/2026

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

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

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

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Units	⁽¹⁾	06/05/2026		A		1,721		⁽²⁾	⁽²⁾	Common Stock	1,721	$0	1,721	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. The RSUs vest in full on the one-year anniversary of the date of grant.

	/s/ Nick Pizzie, Attorney-in-Fact	06/09/2026
	** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR