Tabuteau Herriot's Form 4 filing
Axsome Therapeutics, Inc. (AXSM) · filed Sep 16, 2025
- Accession no.
- 0001193125-25-205260
- Filed
- Sep 16, 2025
- Trade date
- Sep 12-16, 2025
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $7.36M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Tabuteau HerriotCIK 0001219927 | Director, Officer (Chief Executive Officer), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 12, 2025 | Common Stock | MOption exerciseAcquired | +27,907 | $8.02 | +$223,814.14 | 35,136 | Direct | |
| Sep 12, 2025 | Common Stock | SSaleDisposed | −27,907 | $118.96F4 | −$3,319,816.72 | 7,229 | Direct | |
| Sep 15, 2025 | Common Stock | MOption exerciseAcquired | +15,254 | $8.02 | +$122,337.08 | 22,483 | Direct | |
| Sep 15, 2025 | Common Stock | SSaleDisposed | −15,254 | $117.37F5 | −$1,790,361.98 | 7,229 | Direct | |
| Sep 16, 2025 | Common Stock | MOption exerciseAcquired | +19,719 | $8.02 | +$158,146.38 | 26,948 | Direct | |
| Sep 16, 2025 | Common Stock | SSaleDisposed | −19,719 | $114.19F6 | −$2,251,712.61 | 7,229 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 12, 2025 | Common Stock | MOption exerciseDisposed | −27,907 | $0.00 | $0 | 496,093 | Direct | |
| Sep 15, 2025 | Common Stock | MOption exerciseDisposed | −15,254 | $0.00 | $0 | 480,839 | Direct | |
| Sep 16, 2025 | Common Stock | MOption exerciseDisposed | −19,719 | $0.00 | $0 | 461,120 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F4
Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $117.81 and $122.54.
Referenced by the price of 1 transaction in Table I.
- F5
Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $116.70 and $118.44.
Referenced by the price of 1 transaction in Table I.
- F6
Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $113.01 and $116.10.
Referenced by the price of 1 transaction in Table I.