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