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Signature
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/s/ Herriot Tabuteau, M.D., Attorney-in-Fact
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Stock symbol
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AXSM
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Transactions as of
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Sep 15, 2023
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Transactions value $
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-$2,184,002
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Form type
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4
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Date filed
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9/15/2023, 06:30 PM
Transactions Table
| Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
| transaction |
AXSM |
Common Stock |
Options Exercise |
$40.4K |
+11K |
+43.89% |
$3.67* |
36.1K |
Sep 15, 2023 |
Direct |
F1, F2 |
| transaction |
AXSM |
Common Stock |
Sale |
-$828K |
-11K |
-30.5% |
$75.19 |
25.1K |
Sep 15, 2023 |
Direct |
F2, F3 |
| transaction |
AXSM |
Common Stock |
Sale |
-$1.4M |
-18.6K |
-4.4% |
$75.18 |
404K |
Sep 15, 2023 |
See Footnote |
F2, 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 |
-11K |
-100% |
$0.00* |
0 |
Sep 15, 2023 |
Common Stock |
11K |
$3.67 |
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: