Tabuteau Herriot's Form 4 filing
Axsome Therapeutics, Inc. (AXSM) · filed Jan 7, 2026
- Accession no.
- 0001193125-26-006695
- Filed
- Jan 7, 2026
- Trade date
- Jan 5-7, 2026
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $23.9M. 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 5, 2026 | Common Stock | MOption exerciseAcquired | +78,703 | $8.02 | +$631,198.06 | 85,932 | Direct | |
| Jan 5, 2026 | Common Stock | SSaleDisposed | −78,703 | $171.28F4 | −$13,480,249.84 | 7,229 | Direct | |
| Jan 6, 2026 | Common Stock | MOption exerciseAcquired | +29,450 | $8.02 | +$236,189 | 36,679 | Direct | |
| Jan 6, 2026 | Common Stock | SSaleDisposed | −29,450 | $172.33F5 | −$5,075,118.5 | 7,229 | Direct | |
| Jan 7, 2026 | Common Stock | MOption exerciseAcquired | +31,261 | $8.02 | +$250,713.22 | 38,490 | Direct | |
| Jan 7, 2026 | Common Stock | SSaleDisposed | −31,261 | $170.38F6 | −$5,326,249.18 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 5, 2026 | Common Stock | MOption exerciseDisposed | −78,703 | $0.00 | $0 | 93,121 | Direct | |
| Jan 6, 2026 | Common Stock | MOption exerciseDisposed | −29,450 | $0.00 | $0 | 63,671 | Direct | |
| Jan 7, 2026 | Common Stock | MOption exerciseDisposed | −31,261 | $0.00 | $0 | 32,410 | 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 $168.58 and $178.60.
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 $170.36 and $175.26.
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 $168.15 and $173.17.
Referenced by the price of 1 transaction in Table I.