Axsome Therapeut SEC Filings

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.

Axsome Therapeutics, Inc. (AXSM) Form 144 shows a proposed sale of 20,000 common shares through Charles Schwab & Co., Inc. for an aggregate market value of $2,425,335.00 with an approximate sale date of 08/29/2025 on NASDAQ. The filer reports acquiring the 20,000 shares on 03/19/2019 by exercise and hold from Axsome Therapeutics, Inc., with payment in cash.

The filing also discloses sales by the same person during the past three months: 16,694 shares on 08/22/2025 (gross proceeds $2,004,598.00), and three separate sales of 20,000 shares on 08/26/2025, 08/27/2025, and 08/28/2025 with gross proceeds of $2,400,658.00, $2,446,052.00, and $2,432,004.00 respectively. The filing states total shares outstanding of 49,901,487.

Axsome Therapeutics, Inc. (AXSM) Form 144 notice shows a proposed sale of 20,000 common shares to be executed on 08/28/2025 through Charles Schwab & Co., Inc., with an aggregate market value of $2,432,004.00. The filing reports the filer acquired 14,648 shares on 03/29/2017 and 5,352 shares on 03/19/2019 via exercise and paid cash. It also discloses recent sales by the same person totaling 56,694 shares during August 2025, generating gross proceeds of $6,851,308.00 across sales on 08/22/2025, 08/26/2025, and 08/27/2025. The filing includes a representation that the seller is not aware of undisclosed material adverse information.

Axsome Therapeutics (AXSM) Form 144 notice reports proposed sale of 20,000 common shares through Charles Schwab & Co., with an aggregate market value of $2,446,052.00 and an approximate sale date of 08/27/2025. The issuer has 49,901,487 shares outstanding. The shares being offered were acquired by exercise on 03/15/2017 (3,298 shares) and 03/29/2017 (16,702 shares), paid in cash to Axsome Therapeutics, Inc.

The filing also discloses prior sales by the same account in the past three months: 08/22/2025 sale of 16,694 shares for $2,004,598.00 and 08/26/2025 sale of 20,000 shares for $2,400,658.00, seller address listed as Roger Jeffs at One World Trade Center, New York.