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AXSM Axsome Therapeutics Inc

76.00
1.81 (2.44%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Axsome Therapeutics Inc NASDAQ:AXSM NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  1.81 2.44% 76.00 70.25 78.00 76.32 74.36 75.57 767,615 05:00:07

Initial Statement of Beneficial Ownership (3)

09/03/2020 10:51pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Jacobson Mark L.
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/28/2020 

3. Issuer Name and Ticker or Trading Symbol

Axsome Therapeutics, Inc. [AXSM]
(Last)        (First)        (Middle)

C/O AXSOME THERAPEUTICS, INC., 200 BROADWAY, 3RD FLOOR
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                          _____ 10% Owner
___X___ Officer (give title below)        _____ Other (specify below)
Chief Operating Officer /
(Street)

NEW YORK, NY 10038      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)
 

6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy)  (1)4/2/2024 Common Stock 24662 $1.30 D  
Stock Option (Right to Buy)  (2)6/17/2024 Common Stock 19862 $1.30 D  
Stock Option (Right to Buy)  (1)12/28/2024 Common Stock 47739 $4.04 D  
Stock Option (Right to Buy)  (1)9/14/2025 Common Stock 40673 $6.47 D  
Stock Option (Right to Buy)  (3)5/26/2026 Common Stock 25000 $8.02 D  
Stock Option (Right to Buy)  (4)3/14/2027 Common Stock 25000 $4.95 D  
Stock Option (Right to Buy)  (5)9/12/2027 Common Stock 15000 $4.85 D  
Stock Option (Right to Buy)  (6)3/11/2028 Common Stock 45378 $2.85 D  
Stock Option (Right to Buy)  (7)3/19/2029 Common Stock 119704 $12.95 D  
Stock Option (Right to Buy)  (8)10/10/2029 Common Stock 25813 $17.61 D  

Explanation of Responses:
(1) The option is exercisable immediately.
(2) 6,169 options will vest upon the achievement of certain performance based milestones and the remainder of the option is exercisable immediately.
(3) The option was granted on May 27, 2016, and vests in equal increments on a quarterly basis over a four (4) year period, until fully vested.
(4) The option was granted on March 15, 2017, and vests in equal increments on a quarterly basis over a four (4) year period, until fully vested.
(5) The option was granted on September 13, 2017, and vests in equal increments on a quarterly basis over a four (4) year period, until fully vested.
(6) The option was granted on March 12, 2018, and vests in equal increments on a quarterly basis over a four (4) year period, until fully vested.
(7) The option was granted on March 19, 2019, and vests in equal increments on a quarterly basis over a four (4) year period, until fully vested.
(8) The option was granted on October 10, 2019. Fifty percent (50%) of the option is exercisable immediately as of the date of grant with the remaining fifty percent (50%) to vest in equal increments on a quarterly basis over a four (4) year period.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Jacobson Mark L.
C/O AXSOME THERAPEUTICS, INC.
200 BROADWAY, 3RD FLOOR
NEW YORK, NY 10038


Chief Operating Officer

Signatures
/s/ Mark Jacobson3/9/2020
**Signature of Reporting PersonDate

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