0001209191-22-036955.txt : 20220615 0001209191-22-036955.hdr.sgml : 20220615 20220615163115 ACCESSION NUMBER: 0001209191-22-036955 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220613 FILED AS OF DATE: 20220615 DATE AS OF CHANGE: 20220615 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Murdock Hunter R. CENTRAL INDEX KEY: 0001934008 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37635 FILM NUMBER: 221018135 MAIL ADDRESS: STREET 1: 22 CORTLAND STREET, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 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: 22 CORTLANDT STREET, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 BUSINESS PHONE: (212) 332-3241 MAIL ADDRESS: STREET 1: 22 CORTLANDT STREET, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10007 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2022-06-13 0 0001579428 Axsome Therapeutics, Inc. AXSM 0001934008 Murdock Hunter R. C/O AXSOME THERAPEUTICS, INC. 22 CORTLANDT ST, 16TH FLOOR NEW YORK NY 10007 0 1 0 0 General Counsel Stock Option (Right to Buy) 32.55 2031-12-13 Common Stock 40000 D Stock Option (Right to Buy) 29.91 2032-03-04 Common Stock 52383 D Restricted Stock Units Common Stock 22254 D Restricted Stock Units Common Stock 27698 D The option was granted on December 13, 2021. 25% of the option vests on the one (1) year anniversary of the date of grant with the remaining 75% to vest in equal increments on a quarterly basis over a four (4) year period, until fully vested. The option was granted on March 4, 2022, and vests in equal increments on a quarterly basis over a four (4) year period, until fully vested. The restricted stock units ("RSUs") were granted on December 13, 2021. 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in three substantially equal annual installments, such that the RSUs will be fully vested on December 13, 2025. 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) separation of service from the Issuer (including termination with or without Cause (as defined in the Plan), or termination due to death or disability) of the reporting person or (iii) seven (7) years from the date of grant. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs were granted on March 4, 2022. 25% of the RSUs will vest on the one (1) year anniversary of the date of grant. The remaining RSUs will vest in three substantially equal annual installments, such that the RSUs will be fully vested on March 4, 2026. 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 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/ Hunter Murdock 2022-06-15