Herriot Tabuteau - 05 Aug 2026 Form 4 Insider Report for Axsome Therapeutics, Inc. (AXSM)

Reporting relationship: Chief Executive Officer, Director, 10%+ Owner
Issuer ticker: AXSM
Reported as of: 05 Aug 2026
Net transaction value: -$10,538,305
SEC form: 4
Accepted by SEC: 07 Aug 2026, 19:00:04 UTC
Prior SEC filing: 01 Jul 2026
Source filing: View source filing
Reporting owner signature: /s/ Nick Pizzie, Attorney-in-Fact

Key filing fact

Herriot Tabuteau filed Form 4 for Axsome Therapeutics, Inc. (AXSM) on 07 Aug 2026.

Key facts

This page summarizes Herriot Tabuteau's Form 4 filing for Axsome Therapeutics, Inc. (AXSM).
6 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 07 Aug 2026, 19:00.

Change

Previous filing in this sequence was filed on 01 Jul 2026.
Current net transaction value: -$10,538,305.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001219927 Primary reporting owner

TABUTEAU HERRIOT

Relationship: Chief Executive Officer, Director, 10%+ Owner
Address: C/O AXSOME THERAPEUTICS, INC., ONE WORLD TRADE CENTER, 29TH FLOOR, NEW YORK
Signature: /s/ Nick Pizzie, Attorney-in-Fact
Signature date: 07 Aug 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AXSM transaction

Common Stock

Options Exercise

Transaction value
Shares: +45,004
Change %: +623%
Price: $4.95^*
Shares after: 52,233
Date: 05 Aug 2026
Ownership: Direct
Footnotes: F1, F2

AXSM transaction

Common Stock

Sale

Transaction value: $9,541,298
Shares: -45,004
Change %: -86%
Price: $212.01
Shares after: 7,229
Date: 05 Aug 2026
Ownership: Direct
Footnotes: F2, F3, F4

AXSM transaction

Common Stock

Options Exercise

Transaction value
Shares: +4,660
Change %: +64%
Price: $4.95^*
Shares after: 11,889
Date: 06 Aug 2026
Ownership: Direct
Footnotes: F1, F2

AXSM transaction

Common Stock

Sale

Transaction value: $997,007
Shares: -4,660
Change %: -39%
Price: $213.95
Shares after: 7,229
Date: 06 Aug 2026
Ownership: Direct
Footnotes: F2, F3, F5

AXSM holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 7,344,500
Date: 05 Aug 2026
Ownership: See Footnote
Footnotes: F6

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

AXSM transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
Shares: -45,004
Change %: -91%
Price: $0.000000^*
Shares after: 4,660
Date: 05 Aug 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 45,004
Exercise price: $212.01
Footnotes: F1, F2

AXSM transaction Derivative

Stock Option (Right to Buy)

Options Exercise

Transaction value
Shares: -4,660
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Aug 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 4,660
Exercise price: $213.95
Footnotes: F1, F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Rule 10b5-1 trading plan

These transactions were reported as open-market trades under a Rule 10b5-1 plan. The plan lets an insider set trading instructions in advance, which can reduce the risk of trading while in possession of material nonpublic information.

Original filing language: transaction made pursuant to a contract, instruction, or written plan intended to satisfy Rule 10b5-1(c).

Explanation of responses 6 footnotes

Footnote F1

Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.

Footnote F2

Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

Footnote F3

Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

Footnote F4

Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $209.28 and $216.35.

Footnote F5

Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $212.41 and $216.36.

Footnote F6

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.