Form 4 for AXSM Axsome Therapeutics, Inc.
Accepted 2021-11-22 00:00:00 ET · period of report 2021-11-18 · accession 0001209191-21-066005 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2021-11-22 | 2021-11-18 | AXSM | Pizzie Nick | CFO | P - Purchase | $35.50 | +527 | 41.8K | +1% | +$18.7K | |
| MI | 2021-11-22 | 2021-11-18 | AXSM | Pizzie Nick | CFO | P - Purchase | $34.97 | +428 | 201 | New | +$15.0K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-18 | P | A | 527 | $35.50 | 41,789 | D By UTMA account | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $35.39 to $35.88, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. (F3) Represents 141 shares of common stock indirectly held by the reporting person as custodian for his son's UTMA account. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other 4. |
| 2 | Common | Common Stock | 2021-11-18 | P | A | 142 | $35.20 | 142 | I | — | — | |
| 3 | Common | Common Stock | 2021-11-18 | P | A | 145 | $34.30 | 145 | I By UTMA account | — | — | (F5) Represents 142 shares of common stock indirectly held by the reporting person as custodian for his other son's UTMA account. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 4 | Common | Common Stock | 2021-11-18 | P | A | 141 | $35.43 | 201 | I By UTMA account | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $35.42 to $35.44, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. (F4) Represents 145 shares of common stock indirectly held by the reporting person as custodian for his daughter's UTMA account. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |