Tabuteau Herriot's Form 4 filing
Axsome Therapeutics, Inc. (AXSM) · filed Nov 5, 2025
- Accession no.
- 0001193125-25-267467
- Filed
- Nov 5, 2025
- Trade date
- Nov 3-5, 2025
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $21.8M. It was filed 2 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2025 | Common Stock | MOption exerciseAcquired | +91,705 | $8.02 | +$735,474.1 | 98,934 | Direct | |
| Nov 3, 2025 | Common Stock | SSaleDisposed | −91,705 | $132.34F4 | −$12,136,239.7 | 7,229 | Direct | |
| Nov 4, 2025 | Common Stock | MOption exerciseAcquired | +50,459 | $8.02 | +$404,681.18 | 57,688 | Direct | |
| Nov 4, 2025 | Common Stock | SSaleDisposed | −50,459 | $133.79F5 | −$6,750,909.61 | 7,229 | Direct | |
| Nov 5, 2025 | Common Stock | MOption exerciseAcquired | +21,775 | $8.02 | +$174,635.5 | 29,004 | Direct | |
| Nov 5, 2025 | Common Stock | SSaleDisposed | −21,775 | $134.49F6 | −$2,928,519.75 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2025 | Common Stock | MOption exerciseDisposed | −91,705 | $0.00 | $0 | 324,031 | Direct | |
| Nov 4, 2025 | Common Stock | MOption exerciseDisposed | −50,459 | $0.00 | $0 | 273,572 | Direct | |
| Nov 5, 2025 | Common Stock | MOption exerciseDisposed | −21,775 | $0.00 | $0 | 251,797 | 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 $124.16 and $137.59.
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 $131.50 and $135.90.
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 $131.60 and $135.49.
Referenced by the price of 1 transaction in Table I.