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Axsome Therapeutics filed a Form 144 reporting an intended sale of 49,670 shares of Common Stock. The shares were acquired on 03/15/2017 pursuant to stock options and the planned disposition is described as a cashless exercise / same-day sale. The filing lists 06/09/2026 as a related date.
Axsome Therapeutics, Inc. approved a new Executive Severance and Change in Control Plan that standardizes severance protection for key leaders, effective on June 5, 2026. The plan covers the CEO, other Section 16 officers, and vice presidents and above under three tiers.
For involuntary terminations outside a change in control period, Tier 1 participants receive 18 months of base salary and COBRA premiums, Tier 2 receive 12 months, and Tier 3 receive 6 months, generally paid over time. During a defined change in control period, cash severance increases to 24, 18, or 9 months of base salary by tier, with additional target bonus coverage.
In a change in control termination, 100% of unvested time-based equity vests, and performance-based awards vest at 100% of target. The new plan replaces prior severance arrangements, except where specifically preserved.
Axsome Therapeutics, Inc. reported the results of its 2026 Annual Meeting of Stockholders held on June 5, 2026. Stockholders elected Mark Saad and Susan Mahony as Class II directors to serve until the 2029 annual meeting and until their successors are elected and qualified. They also ratified the appointment of Deloitte & Touche LLP as independent registered public accounting firm for the year ending December 31, 2026. In addition, stockholders approved, on a non-binding advisory basis, the compensation of the Company’s named executive officers. A quorum was present, with about 85% of shares entitled to vote represented in person or by proxy.
Coleman Mark reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics director Mark Coleman received a grant of 1,721 restricted stock units. Each RSU represents a contingent right to receive one share of Axsome common stock. The award vests in full on the one-year anniversary of the grant date, after which the underlying common shares become deliverable, increasing his equity-based compensation stake in the company.
Mahony Susan reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. director Susan Mahony received a grant of 1,721 restricted stock units as equity compensation. Each RSU represents a right to receive one share of Axsome common stock at no cash cost. The RSUs vest in full on the one-year anniversary of the grant date, aligning her compensation with future company performance. After this award, she holds 1,721 RSUs directly.
Axsome Therapeutics, Inc. Chief Executive Officer Herriot Tabuteau exercised stock options that were nearing their 10-year expiration and sold the resulting 49,670 shares of common stock in open-market transactions at a weighted average price of $241.01 per share under a pre-approved Rule 10b5-1 plan. After these transactions, he holds 7,229 shares directly and 7,344,500 shares indirectly through an entity over which he has voting and dispositive power.
Axsome Therapeutics, Inc.’s Chief Financial Officer Nick Pizzie reported an option exercise paired with an open-market sale of common stock. He exercised stock options for 33,000 shares of common stock at $3.50 per share, from options that had been held for over eight years and were approaching their 10-year expiration.
The same 33,000 shares were then sold in open-market transactions at a weighted average price of $240.09 per share, under a pre-approved Rule 10b5-1 trading plan that has now been completed. Following these transactions, Pizzie directly owns 42,867 shares of Axsome common stock, which includes prior purchases under the company’s Employee Stock Purchase Plan, and indirectly holds 488 additional shares as custodian for his children’s UTMA accounts.
Saad Mark E reported acquisition or exercise transactions in this Form 4 filing.
Axsome Therapeutics, Inc. director Mark E. Saad received a grant of 1,721 restricted stock units on June 5, 2026. Each RSU represents a contingent right to receive one share of common stock. The RSUs vest in full on the one-year anniversary of the grant date.
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.