Axsome Therapeutics, Inc.
For the period ended Jun 30, 2025. Filed Aug 4, 2025.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2025 · Filed Aug 4, 2025
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Item 5. Other Information
During the second quarter of 2025, the Company did not adopt or terminate a Rule 10b5-1 trading arrangement (as defined in Item 408(a)(1)(i) of Regulation S-K) for the purchase or sale of securities of the Company, whether or not intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act.
During the second quarter of 2025, 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 |
|---|---|---|---|---|
| Herriot Tabuteau | Chief Executive Officer | June 13, 2025(2) | May 6, 2026 | 524,000(3)(4) |
| Mark Jacobson | Chief Operating Officer | June 17, 2025(2) | March 14, 2026 | 70,783(3)(4) |
(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.
(3) Represents the subsequent sale of the underlying shares pursuant to an exercise of stock options.
(4) Represents an exercise of stock options prior to the 10-year expiration date of such options, which would occur within 12 to 24 months.
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