0001179110-20-004010.txt : 20200319
0001179110-20-004010.hdr.sgml : 20200319
20200319211931
ACCESSION NUMBER: 0001179110-20-004010
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200317
FILED AS OF DATE: 20200319
DATE AS OF CHANGE: 20200319
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Jacobson Mark L.
CENTRAL INDEX KEY: 0001805812
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37635
FILM NUMBER: 20730016
MAIL ADDRESS:
STREET 1: 200 BROADWAY
STREET 2: 3RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10038
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Axsome Therapeutics, Inc.
CENTRAL INDEX KEY: 0001579428
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 454241907
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 200 BROADWAY, 3RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10038
BUSINESS PHONE: (212) 332-3241
MAIL ADDRESS:
STREET 1: 200 BROADWAY, 3RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10038
4
1
edgar.xml
FORM 4 -
X0306
4
2020-03-17
0
0001579428
Axsome Therapeutics, Inc.
AXSM
0001805812
Jacobson Mark L.
C/O AXSOME THERAPEUTICS, INC.
200 BROADWAY, 3RD FLOOR
NEW YORK
NY
10038
0
1
0
0
Chief Operating Officer
Employee Stock Option (Right to Buy)
45.14
2020-03-17
4
A
0
60880
0
A
2030-03-16
Common Stock
60880
60880
D
Restricted Stock Units
2020-03-17
4
A
0
18645
0
A
Common Stock
18645
18645
D
The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 17, 2024.
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 March 17, 2024. 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 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/ Mark Jacobson
2020-03-19