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TABUTEAU HERRIOT

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25398
SEC CIK
0001219927

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Axsome Therapeutics, Inc.AXSM · Entity 2469Director · Chief Executive Officer · 10% ownerAugust 05, 2026August 07, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Axsome Therapeutics, Inc.

Report date August 05, 2026 · Filed August 07, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect7,229 Ending reported balance After 2026-08-06 transaction · row 4
4 source rows · reconciled sequence

Row 1 · 2026-08-05 · Exercise / conversion · Acquired 45,004 · Balance 52,233

F1: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.

F2: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

Row 2 · 2026-08-05 · Sale · Disposed 45,004 · Balance 7,229

F2: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

F3: Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

F4: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $209.28 and $216.35.

Row 3 · 2026-08-06 · Exercise / conversion · Acquired 4,660 · Balance 11,889

F1: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.

F2: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

Row 4 · 2026-08-06 · Sale · Disposed 4,660 · Balance 7,229

F2: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

F3: Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

F5: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $212.41 and $216.36.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $212.01 · Expires 2027-03-15Direct4,660 Reported balance After 2026-08-05 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2026-08-05 · Exercise / conversion · Disposed 45,004 · Balance 4,660

F1: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.

F2: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $213.95 · Expires 2027-03-15Direct0 Reported balance After 2026-08-06 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2026-08-06 · Exercise / conversion · Disposed 4,660 · Balance 0

F1: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.

F2: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

Common StockSEC Table I · non-derivativeIndirectSee Footnote7,344,500 Reported balance Holding disclosure · report date 2026-08-05 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 7,344,500

F6: Such shares are held by an entity, of which the reporting person has voting and dispositive power, and therefore, the reporting person is deemed to be the indirect beneficial owner of such shares.

Filing footnotes · ownership attribution and instrument terms

F1: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.

F2: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

F3: Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

F4: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $209.28 and $216.35.

F5: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $212.41 and $216.36.

F6: Such shares are held by an entity, of which the reporting person has voting and dispositive power, and therefore, the reporting person is deemed to be the indirect beneficial owner of such shares.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
October 06, 2025 Filed Oct 9, 2025 01:08 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 Exercise / conversionStock Option (Right to Buy) · Derivative 19,220 $0.00 Strike: $120.17 $0.00
Disclosure

SEC source: 0001193125-25-234881 · ownership.xml · derivative · entry 8

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 441,900

Underlying: Common Stock · 19,220 shares

Expires 2026-05-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

Read SEC document
October 06, 2025 Filed Oct 9, 2025 01:08 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 SaleCommon Stock 19,220 $120.17 $2,309,667.40
Disclosure

SEC source: 0001193125-25-234881 · ownership.xml · nonDerivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,229

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

F3 · kind: Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

F4 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $119.62 and $120.67.

Read SEC document
October 06, 2025 Filed Oct 9, 2025 01:08 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 Exercise / conversionCommon Stock 19,220 $8.02 $154,144.40
Disclosure

SEC source: 0001193125-25-234881 · ownership.xml · nonDerivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,449

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options.

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

Read SEC document
September 16, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 Exercise / conversionStock Option (Right to Buy) · Derivative 19,719 $0.00 Strike: $114.19 $0.00
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · derivative · entry 10

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 461,120

Underlying: Common Stock · 19,719 shares

Expires 2026-05-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options within the next year.

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

Read SEC document
September 16, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 SaleCommon Stock 19,719 $114.19 $2,251,712.61
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · nonDerivative · entry 6

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,229

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

F3 · kind: Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

F6 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $113.01 and $116.10.

Read SEC document
September 16, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 Exercise / conversionCommon Stock 19,719 $8.02 $158,146.38
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · nonDerivative · entry 5

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,948

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options within the next year.

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

Read SEC document
September 15, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 Exercise / conversionStock Option (Right to Buy) · Derivative 15,254 $0.00 Strike: $117.37 $0.00
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · derivative · entry 9

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 480,839

Underlying: Common Stock · 15,254 shares

Expires 2026-05-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options within the next year.

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

Read SEC document
September 15, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 SaleCommon Stock 15,254 $117.37 $1,790,361.98
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · nonDerivative · entry 4

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,229

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

F3 · kind: Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

F5 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $116.70 and $118.44.

Read SEC document
September 15, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 Exercise / conversionCommon Stock 15,254 $8.02 $122,337.08
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · nonDerivative · entry 3

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 22,483

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options within the next year.

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

Read SEC document
September 12, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 Exercise / conversionStock Option (Right to Buy) · Derivative 27,907 $0.00 Strike: $118.96 $0.00
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · derivative · entry 8

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 496,093

Underlying: Common Stock · 27,907 shares

Expires 2026-05-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options within the next year.

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

Read SEC document
September 12, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 SaleCommon Stock 27,907 $118.96 $3,319,816.72
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · nonDerivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,229

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

F3 · kind: Represents the subsequent sale of the underlying shares of the aforementioned exercise of stock options.

F4 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $117.81 and $122.54.

Read SEC document
September 12, 2025 Filed Sep 16, 2025 23:36 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 Exercise / conversionCommon Stock 27,907 $8.02 $223,814.14
Disclosure

SEC source: 0001193125-25-205260 · ownership.xml · nonDerivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,136

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Necessary exercise of stock options set to expire due to attainment of the 10-year expiration date of such options within the next year.

F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan.

Read SEC document
February 24, 2025 Filed Feb 26, 2025 00:51 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantPerformance Stock Units · Derivative 28,609 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027063 · ownership.xml · derivative · entry 3

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,609

Underlying: Common Stock · 28,609 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: Each PSU will vest upon achievement of certain financial, regulatory and developmental performance milestones, subject to the reporting person's continued service as of each vesting date.

F5 · derivative.expiration_date: Each PSU will vest upon achievement of certain financial, regulatory and developmental performance milestones, subject to the reporting person's continued service as of each vesting date.

Read SEC document
February 21, 2025 Filed Feb 26, 2025 00:51 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantRestricted Stock Units · Derivative 28,609 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-027063 · ownership.xml · derivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,609

Underlying: Common Stock · 28,609 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: 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 February 21, 2029. 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.

F3 · derivative.expiration_date: 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 February 21, 2029. 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.

Read SEC document
February 21, 2025 Filed Feb 26, 2025 00:51 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 28,887 $0.00 Strike: $137.75 $0.00
Disclosure

SEC source: 0000950170-25-027063 · ownership.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,887

Underlying: Common Stock · 28,887 shares

Expires 2035-02-20

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on February 21, 2029.

Read SEC document
February 27, 2024 Filed Feb 29, 2024 23:20 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantRestricted Stock Units · Derivative 47,886 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-023354 · ownership.xml · derivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,886

Underlying: Common Stock · 47,886 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

Read SEC document
February 27, 2024 Filed Feb 29, 2024 23:20 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 87,192 $0.00 Strike: $84.00 $0.00
Disclosure

SEC source: 0000950170-24-023354 · ownership.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,192

Underlying: Common Stock · 87,192 shares

Expires 2034-02-26

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on February 27, 2028.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 23:16 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantRestricted Stock Units · Derivative 62,400 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-016459 · doc4.xml · derivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,400

Underlying: Common Stock · 62,400 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: 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 2, 2027. 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.

F3 · derivative.expiration_date: 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 2, 2027. 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.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 23:16 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 110,032 $0.00 Strike: $65.32 $0.00
Disclosure

SEC source: 0001209191-23-016459 · doc4.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,032

Underlying: Common Stock · 110,032 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 2, 2027.

Read SEC document
March 04, 2022 Filed Mar 8, 2022 22:04 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantRestricted Stock Units · Derivative 110,861 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-017162 · doc4.xml · derivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,861

Underlying: Common Stock · 110,861 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: 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 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 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.

F3 · derivative.expiration_date: 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 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 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.

Read SEC document
March 04, 2022 Filed Mar 8, 2022 22:04 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 209,655 $0.00 Strike: $29.91 $0.00
Disclosure

SEC source: 0001209191-22-017162 · doc4.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,655

Underlying: Common Stock · 209,655 shares

Expires 2032-03-03

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 4, 2026.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:45 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantRestricted Stock Units · Derivative 51,715 $0.00 $0.00
Disclosure

SEC source: 0000899243-21-010806 · doc4.xml · derivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,715

Underlying: Common Stock · 51,715 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 5, 2025.

F3 · derivative.expiration_date: 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 5, 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) 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.

Read SEC document
March 05, 2021 Filed Mar 10, 2021 02:45 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 97,155 $0.00 Strike: $65.02 $0.00
Disclosure

SEC source: 0000899243-21-010806 · doc4.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,155

Underlying: Common Stock · 97,155 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 5, 2025.

Read SEC document
March 17, 2020 Filed Mar 20, 2020 01:20 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantRestricted Stock Units · Derivative 51,691 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-004012 · edgar.xml · derivative · entry 2

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,691

Underlying: Common Stock · 51,691 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

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March 17, 2020 Filed Mar 20, 2020 01:20 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 168,776 $0.00 Strike: $45.14 $0.00
Disclosure

SEC source: 0001179110-20-004012 · edgar.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,776

Underlying: Common Stock · 168,776 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 17, 2024.

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October 10, 2019 Filed Oct 15, 2019 20:45 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 68,837 $0.00 Strike: $17.61 $0.00
Disclosure

SEC source: 0001179110-19-011013 · edgar.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,837

Underlying: Common Stock · 68,837 shares

Expires 2029-10-09

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on October 10, 2023; provided, that the vesting of the option will be accelerated such that 100% of the option will become fully vested upon the achievement of certain clinical, operational, and/or other milestones (approved by the compensation committee) prior to, on, or about December 31, 2019.

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March 19, 2019 Filed Mar 21, 2019 20:07 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 319,212 $0.00 Strike: $12.95 $0.00
Disclosure

SEC source: 0001104659-19-016573 · a4.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,212

Underlying: Common Stock · 319,212 shares

Expires 2029-03-18

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 19, 2023.

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March 12, 2018 Filed Apr 5, 2018 14:05 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 187,628 $0.00 Strike: $2.85 $0.00
Disclosure

SEC source: 0001104659-18-022600 · a4.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,628

Underlying: Common Stock · 187,628 shares

Expires 2028-03-11

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 12, 2022.

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March 15, 2017 Filed Mar 17, 2017 21:04 UTC Axsome Therapeutics, Inc. AXSM · Entity 2469 GrantEmployee Stock Option (Right to Buy) · Derivative 149,000 $0.00 Strike: $4.95 $0.00
Disclosure

SEC source: 0001104659-17-017647 · a4.xml · derivative · entry 1

TABUTEAU HERRIOT · CIK 0001219927 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,000

Underlying: Common Stock · 149,000 shares

Expires 2027-03-14

F1 · derivative.exercise_date: The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 15, 2021.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.