Axsome Therapeutics, Inc.
For the period ended Dec 31, 2025. Filed Feb 23, 2026.
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FY2025 · Filed Feb 23, 2026
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Item 9B. Other Information
During the fourth 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 fourth 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 |
|---|---|---|---|---|
| Mark Coleman | Director | November 11, 2025(2) | August 14, 2026 | 25,000 |
| Mark Jacobson | Chief Operating Officer | November 10, 2025(2) | July 31, 2026 | 45,378(3) |
(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 sale of shares underlying stock options that will be exercised prior to expiration.
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