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Signature
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/s/ Herriot Tabuteau, M.D., Attorney-in-Fact
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Issuer symbol
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AXSM
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Transactions as of
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14 Mar 2024
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Net transactions value
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-$1,467,463
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Form type
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4
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Filing time
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15 Mar 2024, 20:05:27 UTC
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
AXSM |
Common Stock |
Options Exercise |
$286,390 |
+13,000 |
+11% |
$22.03 |
133,756 |
14 Mar 2024 |
Direct |
F1, F2 |
| transaction |
AXSM |
Common Stock |
Sale |
$906,126 |
-13,000 |
-9.7% |
$69.70 |
120,756 |
14 Mar 2024 |
Direct |
F2, F3 |
| transaction |
AXSM |
Common Stock |
Options Exercise |
$433,397 |
+16,976 |
+14% |
$25.53 |
137,732 |
14 Mar 2024 |
Direct |
F1, F2 |
| transaction |
AXSM |
Common Stock |
Sale |
$1,183,261 |
-16,976 |
-12% |
$69.70 |
120,756 |
14 Mar 2024 |
Direct |
F2, F3 |
| transaction |
AXSM |
Common Stock |
Options Exercise |
$70,199 |
+2,347 |
+1.9% |
$29.91 |
123,103 |
15 Mar 2024 |
Direct |
F1, F2 |
| transaction |
AXSM |
Common Stock |
Sale |
$168,062 |
-2,347 |
-1.9% |
$71.61 |
120,756 |
15 Mar 2024 |
Direct |
F2, F3 |
| holding |
AXSM |
Common Stock |
|
|
|
|
|
46,912 |
14 Mar 2024 |
GRAT |
F4 |
Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Underlying Class |
Amount |
Exercise Price |
Ownership |
Footnotes |
| transaction |
AXSM |
Stock Option (Right to Buy) |
Options Exercise |
$0 |
-13,000 |
-100% |
$0.000000* |
0 |
14 Mar 2024 |
Common Stock |
13,000 |
$22.03 |
Direct |
F1, F2 |
| transaction |
AXSM |
Stock Option (Right to Buy) |
Options Exercise |
$0 |
-16,976 |
-100% |
$0.000000* |
0 |
14 Mar 2024 |
Common Stock |
16,976 |
$25.53 |
Direct |
F1, F2 |
| transaction |
AXSM |
Stock Option (Right to Buy) |
Options Exercise |
$0 |
-2,347 |
-100% |
$0.000000* |
0 |
15 Mar 2024 |
Common Stock |
2,347 |
$29.91 |
Direct |
F1, F2 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
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).
Explanation of Responses: