Axsome Therapeutics, Inc.
For the period ended Mar 31, 2026. Filed May 4, 2026.
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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.
Mar 31, 2026 · Filed May 4, 2026
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Item 5. Other Information
During the first quarter of 2026, 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:
Adopted
| 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 | February 27, 2026(2) | December 31, 2026 | 18,180 |
| Mark Saad | Director | February 27, 2026(2) | March 15, 2027 | 11,000(3) |
| Roger Jeffs | Director | February 27, 2026(2) | September 4, 2026 | (4) |
| Susan Mahony | Director | March 2, 2026(2) | June 30, 2026 | 600 |
| Herriot Tabuteau | Chief Executive Officer | March 10, 2026 | January 6, 2027 | 149,000(3) |
| Nick Pizzie | Chief Financial Officer | March 10, 2026 | September 15, 2026 | 33,000(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.
(4) 20% of the net shares that vest on June 6, 2026 upon settlement of RSUs held by the reporting person will be sold.
Terminated
| Name | Title | Date of Termination of Rule 10b5-1 Trading Arrangement(1) | Scheduled Expiration Date of Rule 10b5-1 Trading Arrangement | Aggregate Number of Securities to Be Sold |
|---|---|---|---|---|
| Mark Saad | Director | February 26, 2026(2) | March 15, 2027 | 48,577(4) |
| Nick Pizzie | Chief Financial Officer | March 5, 2026(3) | September 15, 2026 | 37,000(5) |
(1) Date of termination 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 date of adoption of this Rule 10b5-1 trading arrangement was September 11, 2025. The first trade pursuant to the Rule 10b5-1 trading arrangement was, 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) The date of adoption of this Rule 10b5-1 trading arrangement was September 15, 2025. The first trade pursuant to the Rule 10b5-1 trading arrangement was, 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.
(4) Prior to its termination,37,577 shares of common stock pursuant to the exercise of non-qualified stock options were sold pursuant to this Rule 10b5-1 trading arrangement.
(5) Prior to its termination,12,000 shares of common stock pursuant to the exercise of non-qualified stock options were sold pursuant to this Rule 10b5-1 trading arrangement.
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