Nick Pizzie - 22 Jan 2026 Form 4 Insider Report for Axsome Therapeutics, Inc. (AXSM)

Role
Chief Financial Officer
Signature
/s/ Nick Pizzie
Issuer symbol
AXSM
Transactions as of
22 Jan 2026
Net transactions value
-$2,213,040
Form type
4
Filing time
23 Jan 2026, 19:00:04 UTC
Previous filing
25 Feb 2025
Next filing
27 Feb 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Pizzie Nick Chief Financial Officer C/O AXSOME THERAPEUTICS, INC., ONE WORLD TRADE CENTER, 29TH FLOOR, NEW YORK /s/ Nick Pizzie 23 Jan 2026 0001742143

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AXSM Common Stock Options Exercise $42,000 +12,000 +28% $3.50 54,588 22 Jan 2026 Direct F1, F2, F5
transaction AXSM Common Stock Sale $2,255,040 -12,000 -22% $187.92 42,588 22 Jan 2026 Direct F2, F3, F4, F5
holding AXSM Common Stock 488 22 Jan 2026 See explanation 6 below. F6

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 -12,000 -10% $0.000000 105,000 22 Jan 2026 Common Stock 12,000 $3.50 Direct 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:

Id Content
F1 Represents an exercise of stock options which was held for 8 years and exercised prior to the 10-year expiration date of such 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 the weighted average sale price of a series of open market transactions with sale prices ranging between $185.09 and $191.12.
F5 Includes the prior purchase of shares of common stock pursuant to the Issuer's Employee Stock Purchase Plan.
F6 Represents additional shares indirectly beneficially owned by the reporting person as custodian for his children's UTMA accounts.