Mark Coleman - Jan 3, 2023 Form 4 Insider Report for Axsome Therapeutics, Inc. (AXSM)

Role: Director
Signature: /s/ Mark Coleman
Stock symbol: AXSM
Transactions as of: Jan 3, 2023
Transactions value $: $22,751
Form type: 4
Date filed: 1/4/2023, 03:11 PM
Previous filing: Jun 7, 2022
Next filing: Mar 6, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	AXSM	Common Stock	Options Exercise	$22.8K	+17.5K	+230.4%	$1.30^*	25.1K	Jan 3, 2023	Direct	F1
holding	AXSM	Common Stock						422K	Jan 3, 2023	See Footnote	F2

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	-17.5K	-100%	$0.00^*	0	Jan 3, 2023	Common Stock	17.5K	$1.30	Direct	F1

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents an exercise of stock options and hold of underlying shares.
F2	Such shares are held by an entity, of which the reporting person has voting and dispositive power, and therefore, the reporting person is deemed to be the indirect beneficial owner of such shares.