Axsome Therapeutics Inc
For the period ended Dec 31, 2023. Filed Feb 23, 2024.
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FY2023 · Filed Feb 23, 2024
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Item 9B. Other Information
During the fourth quarter of 2023, the following Rule 10b5-1 trading arrangements (as defined in Item 408(a)(1)(i) of Regulation S-K) and non-Rule 10b5-1 trading arrangements (as defined in Item 408(c) of Regulation S-K) intended to satisfy the affirmative defense of Rule 10b5-1(c) of the Exchange Act were adopted or terminated by our directors and/or executive officers:
| Name | Title | Date of Adoption of Rule 10b5-1 Trading Arrangement(1) | Scheduled Expiration Date of Rule 10b5-1 Trading Arrangement | Aggregate Number of Securities to Be Sold |
|---|---|---|---|---|
| Roger Jeffs | Director | December 14, 2023(2) | September 16, 2024 | Up to 32,323 shares of common stock pursuant to the exercise of non-qualified stock options |
| Mark Saad | Director | December 14, 2023(2) | November 19, 2025 | Up to 89,699 shares of common stock pursuant to the exercise of non-qualified stock options |
(1) Date of adoption of Rule 10b5-1 trading arrangements is in accordance with both the Company’s insider trading policy and applicable SEC rules and regulations.
(2) The first trade pursuant to the Rule 10b5-1 trading arrangement will be, in accordance with both the Company’s insider trading policy and applicable SEC rules and regulations, on a date after the date of adoption of the Rule 10b5-1 trading arrangement.
During the fourth quarter of 2023, the Company did notadopt orterminate a Rule 10b5-1 trading arrangement (as defined in Item 408(a)(1)(i) of Regulation S-K).
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