Axsome Therapeut SEC Filings

Axsome Therapeutics, Inc. (AXSM) filed a Form 144 reporting a proposed sale of 45,783 common shares with an aggregate market value of $5,241,305.00. The filing lists Charles Schwab & Co., Inc. as the broker and names NASDAQ as the exchange, with an approximate sale date of 09/16/2025. The seller acquired 5,783 shares on 05/29/2024 via exercise and hold paid in cash, and 40,000 shares on 09/16/2025 via an employee stock option exercise using a broker cashless exercise. The filer certifies no undisclosed material adverse information.

Axsome Therapeutics (AXSM) reported a Form 144 notice showing a proposed sale of 19,719 shares of common stock through Goldman Sachs & Co. LLC, with an aggregate market value of $2,249,937.90, and an approximate sale date of 09/16/2025 on NASD. The securities were acquired on 05/27/2016 as compensation via stock options and the stated payment method is a cashless exercise/same-day sale. The filing also discloses two prior sales by the same person within the past three months: 27,907 shares sold on 09/12/2025 for $3,319,894.86 and 15,254 shares sold on 09/15/2025 for $1,790,378.76. The filer affirms no undisclosed material adverse information.

Axsome Therapeutics (AXSM) reported an insider notice to sell common stock under Rule 144. The filing shows 15,254 shares proposed for sale through Goldman Sachs with an aggregate market value of $1,781,285.85, and the sale date is listed as 09/15/2025. The shares were acquired on 05/27/2016 as compensation from the issuer via stock options and the payment method is described as a cashless exercise/same-day sale. The filing also discloses a separate sale on 09/12/2025 by Herriot Tabuteau of 27,907 shares for gross proceeds of $3,319,894.86. The form includes the standard representation that the seller does not possess undisclosed material adverse information.

Axsome Therapeutics, Inc. (AXSM) director Mark Coleman reported open-market purchases of the issuer's common stock on 09/08/2025. The Form 4 lists three purchase transactions totaling 1,575 shares at prices of $127.20, $127.30, and $127.40, recorded as purchases. After these transactions Mr. Coleman is reported to beneficially own 48,212 shares directly. The filing also discloses 403,856 shares held indirectly by an entity over which he has voting and dispositive power, for a combined reported beneficial interest of 452,068 shares as shown on the form. The purchases were executed in the open market and the Form 4 was signed by an attorney-in-fact on 09/09/2025. Footnotes clarify the open-market nature of the purchases and the basis for indirect beneficial ownership.

Axsome Therapeutics director Mark E. Saad executed and sold shares on 09/05/2025 under a pre-approved 10b5-1 plan. He exercised stock options to purchase 9,127 shares at an exercise price of $9.00 per share, then sold the 9,127 underlying shares in open market transactions at a weighted average price of $125.07. After these transactions the reporting person beneficially owned 10,002 shares directly and 300 shares indirectly (held in custodial UTMA accounts).

Insider notice of proposed sale: This Form 144 reports a proposed sale of 9,127 shares of common stock of Axsome Therapeutics, Inc. via Charles Schwab & Co., Inc. valued at $1,141,529.00. The filing shows the shares were acquired and are proposed to be sold on 09/05/2025 following an employee stock option exercise and that payment was handled by broker payment for cashless exercise. The filing indicates there were 49,901,487 shares outstanding and names NASDAQ as the exchange for the sale. No securities of the issuer were reported sold by the filer in the past three months and other standard Form 144 declarations and signature statements are present.

Roger Jeffs, a director of Axsome Therapeutics (AXSM), reported the sale of 13,464 shares of the company's common stock on 09/02/2025 at a weighted average price of $123.68 per share. The sales were executed as the final transactions under a pre-approved 10b5-1 plan and represent shares underlying previously exercised stock options. Following the reported disposition, Mr. Jeffs beneficially owns 57,510 shares, held directly.

Axsome Therapeutics, Inc. (AXSM) Form 144 notice reports a proposed sale of 13,464 common shares through Charles Schwab & Co., Inc. on 09/02/2025 on NASDAQ with an aggregate market value of $1,665,162.00. The filing lists the securities being sold as previously acquired by exercise and hold on 03/19/2019 (9,514 shares) and 11/19/2021 (3,950 shares), with cash payment noted. The filer also discloses five separate sales during August 2025 totaling 96,694 shares with gross proceeds shown for each trade. The notice includes the standard representation attesting no undisclosed material adverse information.

Insider sales under pre-set plan: This Form 4 shows Jeffs Roger, a director of Axsome Therapeutics (AXSM), sold shares pursuant to a pre-approved 10b5-1 plan across three trading days. He disposed of 20,000 shares on 08/27/2025 at a weighted average price of $122.30, 20,000 shares on 08/28/2025 at $121.60, and 20,000 shares on 08/29/2025 at $121.27. The reported beneficial ownership fell from 110,974 shares after the first sale to 70,974 shares after the third sale. The filer signed the form via attorney-in-fact.