0000950170-24-023364.txt : 20240229 0000950170-24-023364.hdr.sgml : 20240229 20240229182517 ACCESSION NUMBER: 0000950170-24-023364 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240227 FILED AS OF DATE: 20240229 DATE AS OF CHANGE: 20240229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pizzie Nick CENTRAL INDEX KEY: 0001742143 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37635 FILM NUMBER: 24705891 MAIL ADDRESS: STREET 1: 25 BROADWAY, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Axsome Therapeutics, Inc. CENTRAL INDEX KEY: 0001579428 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 454241907 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE WORLD TRADE CENTER, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: (212) 332-3241 MAIL ADDRESS: STREET 1: ONE WORLD TRADE CENTER, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 4 1 ownership.xml 4 X0508 4 2024-02-27 0001579428 Axsome Therapeutics, Inc. AXSM 0001742143 Pizzie Nick C/O AXSOME THERAPEUTICS, INC. ONE WORLD TRADE CENTER, 22ND FLOOR NEW YORK NY 10007 false true false false CHIEF FINANCIAL OFFICER false Employee Stock Option (Right to Buy) 84.00 2024-02-27 4 A false 28722 0.00 A 2034-02-26 Common Stock 28722 28722 D Restricted Stock Units 2024-02-27 4 A false 15774 0.00 A Common Stock 15774 15774 D The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on February 27, 2028. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in in three substantially equal annual installments, such that the RSUs will be fully vested on February 27, 2028. Vested shares will be delivered to the reporting person upon the earlier of (i) the closing of a Change in Control (as defined in the Issuer's Amended and Restated 2015 Omnibus Incentive Compensation Plan (the "Plan"), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability), or (iii) seven (7) years from the date of grant. /s/ Nick Pizzie 2024-02-29