| 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 | -13K | -100% | $0.00* | 0 | Mar 14, 2024 | Common Stock | 13K | $22.03 | Direct | F1, F2 |
| transaction | AXSM | Stock Option (Right to Buy) | Options Exercise | $0 | -17K | -100% | $0.00* | 0 | Mar 14, 2024 | Common Stock | 17K | $25.53 | Direct | F1, F2 |
| transaction | AXSM | Stock Option (Right to Buy) | Options Exercise | $0 | -2.35K | -100% | $0.00* | 0 | Mar 15, 2024 | Common Stock | 2.35K | $29.91 | Direct | F1, F2 |
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).
| Id | Content |
|---|---|
| F1 | Represents an exercise of stock options. |
| F2 | Such transaction was pursuant to a pre-approved 10b5-1 plan. |
| F3 | Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options. |
| F4 | Represents additional shares held indirectly by the Reporting Person prior to March 14, 2023. |