person · Reporting owner

JEFFS ROGER

Disclosed activity across 6 companies

Tapewire entity: 30518
SEC CIK: 0001231615

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ALBIREO PHARMA, INC.ALBO · Entity 116015	Director	June 24, 2021	June 28, 2021
Axsome Therapeutics, Inc.AXSM · Entity 2469	Director	June 10, 2026	June 12, 2026
Liquidia CorpLQDA · Entity 1860	Director · Chief Executive Officer	October 09, 2026	October 13, 2026
SANGAMO THERAPEUTICS, INCSGMO · Entity 7038	Director	September 07, 2018	September 07, 2018
Sio Gene Therapies Inc.AXGT · Entity 130622	Director	April 15, 2019	April 18, 2019

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.

ALBIREO PHARMA, INC.

Report date June 24, 2021 · Filed June 28, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $36.87 · Expires 2031-06-23	Direct	8,000	Reported balance After 2021-06-24 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2021-06-24 · Grant · Acquired 8,000 · Balance 8,000 F1: This option will vest and become exercisable in full on the earlier of (i) June 24, 2022 or (ii) the day prior to the issuer's 2022 annual meeting of stockholders, subject to the director's continued service on the issuer's board of directors on the vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: This option will vest and become exercisable in full on the earlier of (i) June 24, 2022 or (ii) the day prior to the issuer's 2022 annual meeting of stockholders, subject to the director's continued service on the issuer's board of directors on the vesting date.

Axsome Therapeutics, Inc.

Report date June 10, 2026 · Filed June 12, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	58,367	Ending reported balance After 2026-06-11 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2026-06-10 · Sale · Disposed 286 · Balance 58,653 F1: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed. F2: These shares were sold to cover taxes associated with the settlement of RSUs that were initially granted to the Reporting Person on June 6, 2025. Row 2 · 2026-06-11 · Sale · Disposed 286 · Balance 58,367 F1: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed. F2: These shares were sold to cover taxes associated with the settlement of RSUs that were initially granted to the Reporting Person on June 6, 2025.

Filing footnotes · ownership attribution and instrument terms

F1: Such transaction was pursuant to a pre-approved 10b5-1 plan, which has now been completed.

F2: These shares were sold to cover taxes associated with the settlement of RSUs that were initially granted to the Reporting Person on June 6, 2025.

Liquidia Corp

Report date October 09, 2026 · Filed October 13, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,125,848	Last balance in matching sequence After 2026-10-12 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2026-10-09 · Exercise / conversion · Acquired 13,833 · Balance 1,144,259 F2: On January 11, 2024, the Reporting Person was granted 221,338 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 152,170 have vested as of the date of this Form 4. F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F3: Includes (i) 18,094 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 69,168 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 128,996 unvested RSUs of the 229,327 RSUs granted to the Reporting Person on January 11, 2025 and (iv) 115,344 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4. Row 2 · 2026-10-09 · Exercise / conversion · Acquired 14,333 · Balance 1,158,592 F4: On January 11, 2025, the Reporting Person was granted 229,327 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2026 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 100,331 have vested as of the date of this Form 4. F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F3: Includes (i) 18,094 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 69,168 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 128,996 unvested RSUs of the 229,327 RSUs granted to the Reporting Person on January 11, 2025 and (iv) 115,344 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4. Row 3 · 2026-10-12 · Sale · Disposed 32,744 · Balance 1,125,848 F5: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F6: These shares were sold to cover taxes associated with the settlement of RSUs and PSUs that were initially granted to the Reporting Person on January 11, 2023, January 11, 2024 and January 11, 2025. F3: Includes (i) 18,094 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 69,168 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 128,996 unvested RSUs of the 229,327 RSUs granted to the Reporting Person on January 11, 2025 and (iv) 115,344 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4.
Performance Stock UnitsSEC Table II · derivative / convertible security	Direct	69,168	Reported balance After 2026-10-09 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2026-10-09 · Exercise / conversion · Disposed 13,833 · Balance 69,168 F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis.
Performance Stock UnitsSEC Table II · derivative / convertible security	Direct	128,996	Reported balance After 2026-10-09 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2026-10-09 · Exercise / conversion · Disposed 14,333 · Balance 128,996 F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis.
Common StockSEC Table I · non-derivative	IndirectSee footnote	46,595	Reported balance Holding disclosure · report date 2026-10-09 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 46,595 F7: The securities are held by Roger A. Jeffs Living Trust UAD 2/29/2000 (the "Trust"). The Reporting Person is the trustee of the Trust.
Common StockSEC Table I · non-derivative	IndirectSee footnote	1,041,667	Reported balance Holding disclosure · report date 2026-10-09 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 1,041,667 F8: The securities are held by Serendipity BioPharma LLC ("Serendipity"). The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity.

Filing footnotes · ownership attribution and instrument terms

F1: Performance stock units ("PSUs") convert into common stock on a one-for-one basis.

F2: On January 11, 2024, the Reporting Person was granted 221,338 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 152,170 have vested as of the date of this Form 4.

F3: Includes (i) 18,094 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 69,168 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 128,996 unvested RSUs of the 229,327 RSUs granted to the Reporting Person on January 11, 2025 and (iv) 115,344 RSUs granted to the Reporting Person on January 16, 2026, none of which have vested as of the date of this Form 4.

F4: On January 11, 2025, the Reporting Person was granted 229,327 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2026 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 100,331 have vested as of the date of this Form 4.

F5: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023.

F6: These shares were sold to cover taxes associated with the settlement of RSUs and PSUs that were initially granted to the Reporting Person on January 11, 2023, January 11, 2024 and January 11, 2025.

F7: The securities are held by Roger A. Jeffs Living Trust UAD 2/29/2000 (the "Trust"). The Reporting Person is the trustee of the Trust.

F8: The securities are held by Serendipity BioPharma LLC ("Serendipity"). The Reporting Person is a manager of Serendipity and has sole voting and dispositive power over the Issuer common stock held by Serendipity.

SANGAMO THERAPEUTICS, INC

Report date September 07, 2018 · Filed September 07, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	9,908	Reported balance After 2018-09-07 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2018-09-07 · Purchase · Acquired 7,408 · Balance 9,908 F1: The price reported is a weighted average price. The shares were purchased at prices ranging from $13.475 to $13.60. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price. F2: Includes 2,500 shares of common stock subject to restricted stock units ("RSUs") granted on June 11, 2018. The RSUs will fully vest on the earlier of (x) June 11, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported is a weighted average price. The shares were purchased at prices ranging from $13.475 to $13.60. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2: Includes 2,500 shares of common stock subject to restricted stock units ("RSUs") granted on June 11, 2018. The RSUs will fully vest on the earlier of (x) June 11, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

Sio Gene Therapies Inc.

Report date April 15, 2019 · Filed April 18, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.06 · Expires 2029-04-14	Direct	255,000	Reported balance After 2019-04-15 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-04-15 · Grant · Acquired 255,000 · Balance 255,000 F1: 100% of this option will vest on April 15, 2020, subject to the Reporting Person providing continuous service to the Issuer on such date. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying the option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan.

Filing footnotes · ownership attribution and instrument terms

F1: 100% of this option will vest on April 15, 2020, subject to the Reporting Person providing continuous service to the Issuer on such date. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying the option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Dova Pharmaceuticals Inc.

Report date November 12, 2019 · Filed November 12, 2019

Section 16 reporting ended · disclosed 2019-11-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2019-11-12 transaction · row 1 1 source row Row 1 · 2019-11-12 · Disposition to issuer · Disposed 66,993 · Balance 0 F1: Disposed pursuant to an agreement and plan of merger by and between the Issuer, Swedish Orphan Biovitrum AB and Dragonfly Acquisition Corp. (the "Merger") in exchange for $27.50 per share of Issuer's common stock including any shares subject to each restricted stock unit on the effective date of the Merger, plus (ii) one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.32 · Expires 2027-05-24	Direct	Reported balance After 2019-11-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-11-12 · Disposition to issuer · Disposed 33,000 · Balance 0 F2: This option, which provided for vesting over a period of three years as follows: (i) one-third of the total shares subject to the option shall vest on May 25, 2018, and (ii) 1/36th of total shares subject to the option shall vest monthly thereafter over the remaining two years of the vesting period, was accelerated and canceled in the Merger in exchange for a cash payment of $665,940.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.36 · Expires 2029-04-25	Direct	Reported balance After 2019-11-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-11-12 · Disposition to issuer · Disposed 10,000 · Balance 0 F3: This option, which provided for vesting monthly over one year from the grant date and in any event will be fully vested on the date of the next annual meeting of our stockholders, was canceled in the Merger in exchange for a cash payment of $181,400.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed pursuant to an agreement and plan of merger by and between the Issuer, Swedish Orphan Biovitrum AB and Dragonfly Acquisition Corp. (the "Merger") in exchange for $27.50 per share of Issuer's common stock including any shares subject to each restricted stock unit on the effective date of the Merger, plus (ii) one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone.

F2: This option, which provided for vesting over a period of three years as follows: (i) one-third of the total shares subject to the option shall vest on May 25, 2018, and (ii) 1/36th of total shares subject to the option shall vest monthly thereafter over the remaining two years of the vesting period, was accelerated and canceled in the Merger in exchange for a cash payment of $665,940.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option.

F3: This option, which provided for vesting monthly over one year from the grant date and in any event will be fully vested on the date of the next annual meeting of our stockholders, was canceled in the Merger in exchange for a cash payment of $181,400.00, representing the difference between the exercise price of outstanding shares subject to the option and the market value of the underlying common stock on the effective date of the Merger ($27.50 per share). In addition, one non-transferable contingent value right per share, which represents the right to receive $1.50, without interest and subject to any withholding taxes, upon the achievement of a specified milestone was awarded to the Reporting Person for each outstanding share subject to the option.

Transaction history

JSON API

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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
October 13, 2025 Filed Oct 15, 2025 20:31 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	20,261	$23.41	$474,310.01	Disclosure SEC source: 0001104659-25-099747 · tm2528808-3_4seq1.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,032,973 F4 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F5 · shares: These shares were sold to cover taxes associated with the settlement of RSUs and PSUs that were initially granted to the Reporting Person on January 11, 2023 and January 11, 2024. F3 · balance_after: Includes (i) 90,469 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 124,502 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 10,696 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
October 10, 2025 Filed Oct 15, 2025 20:31 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionPerformance Stock Units · Derivative	13,834	$0.00	$0.00	Disclosure SEC source: 0001104659-25-099747 · tm2528808-3_4seq1.xml · derivative · entry 5 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 124,502 Underlying: Common Stock · 13,834 shares Expires not disclosed 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 · derivative.exercise_price: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. Read SEC document
October 10, 2025 Filed Oct 15, 2025 20:31 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionCommon Stock	13,834	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-25-099747 · tm2528808-3_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,053,234 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. F2 · shares: On January 11, 2024, the Reporting Person was granted 221,338 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 96,836 have vested as of the date of this Form 4. F1 · price: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F3 · balance_after: Includes (i) 90,469 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 124,502 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 10,696 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
September 02, 2025 Filed Sep 2, 2025 23:11 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	13,464	$123.68	$1,665,227.52	Disclosure SEC source: 0001231615-25-000008 · ownership.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 57,510 F1 · kind: Represents the sale of underlying shares of previously exercised stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan which has now been completed. F3 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $121.30 and $124.60. Read SEC document
August 29, 2025 Filed Aug 29, 2025 23:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	20,000	$121.27	$2,425,400.00	Disclosure SEC source: 0001231615-25-000006 · ownership.xml · nonDerivative · entry 3 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 70,974 F1 · kind: Represents the sale of underlying shares of previously exercised stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. F5 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $120.02 and $122.28. Read SEC document
August 28, 2025 Filed Aug 29, 2025 23:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	20,000	$121.60	$2,432,000.00	Disclosure SEC source: 0001231615-25-000006 · ownership.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 90,974 F1 · kind: Represents the sale of underlying shares of previously exercised stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. F4 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $120.75 and $122.47. Read SEC document
August 27, 2025 Filed Aug 29, 2025 23:08 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	20,000	$122.30	$2,446,000.00	Disclosure SEC source: 0001231615-25-000006 · ownership.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 110,974 F1 · kind: Represents the sale of underlying shares of previously exercised stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. F3 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $120.74 and $123.56. Read SEC document
August 26, 2025 Filed Aug 26, 2025 23:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	20,000	$120.03	$2,400,600.00	Disclosure SEC source: 0001231615-25-000004 · ownership.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 130,974 F1 · kind: Represents the sale of underlying shares of previously exercised stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. F4 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $120.00 and $120.26. Read SEC document
August 22, 2025 Filed Aug 26, 2025 23:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	16,694	$120.08	$2,004,615.52	Disclosure SEC source: 0001231615-25-000004 · ownership.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 150,974 F1 · kind: Represents the sale of underlying shares of previously exercised stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. F3 · price: Represents the weighted average sale price of a series of open market transactions with sale prices ranging between $120.00 and $120.34. Read SEC document
July 14, 2025 Filed Jul 15, 2025 20:33 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	20,252	$14.28	$289,198.56	Disclosure SEC source: 0001104659-25-068118 · tm2520991-3_4seq1.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,038,560 F4 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F5 · shares: These shares were sold to cover taxes associated with the settlement of RSUs and PSUs that were initially granted to the Reporting Person on January 11, 2023 and January 11, 2024. F3 · balance_after: Includes (i) 108,562 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 138,336 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 9,856 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
July 14, 2025 Filed Jul 15, 2025 20:33 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	20,252	$14.28	$289,198.56	Disclosure SEC source: 0001104659-25-068117 · tm2520991-3_4seq1.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,038,560 F4 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F5 · shares: These shares were sold to cover taxes associated with the settlement of RSUs and PSUs that were initially granted to the Reporting Person on January 11, 2023 and January 11, 2024. F3 · balance_after: Includes (i) 108,562 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 138,336 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 9,856 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
July 11, 2025 Filed Jul 15, 2025 20:33 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionPerformance Stock Units · Derivative	13,833	$0.00	$0.00	Disclosure SEC source: 0001104659-25-068118 · tm2520991-3_4seq1.xml · derivative · entry 5 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 138,336 Underlying: Common Stock · 13,833 shares Expires not disclosed 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 · derivative.exercise_price: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. Read SEC document
July 11, 2025 Filed Jul 15, 2025 20:33 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionCommon Stock	13,833	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-25-068118 · tm2520991-3_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,058,812 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. F2 · shares: On January 11, 2024, the Reporting Person was granted 221,338 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 83,002 have vested as of the date of this Form 4. F1 · price: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F3 · balance_after: Includes (i) 108,562 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 138,336 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 9,856 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
July 11, 2025 Filed Jul 15, 2025 20:33 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionPerformance Stock Units · Derivative	13,833	$0.00	$0.00	Disclosure SEC source: 0001104659-25-068117 · tm2520991-3_4seq1.xml · derivative · entry 5 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 138,336 Underlying: Common Stock · 13,833 shares Expires not disclosed 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 · derivative.exercise_price: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. Read SEC document
July 11, 2025 Filed Jul 15, 2025 20:33 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionCommon Stock	13,833	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-25-068117 · tm2520991-3_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,058,812 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. F2 · shares: On January 11, 2024, the Reporting Person was granted 221,338 PSUs which vest upon the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter. Of those PSUs, a total of 83,002 have vested as of the date of this Form 4. F1 · price: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F3 · balance_after: Includes (i) 108,562 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 138,336 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 9,856 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
June 06, 2025 Filed Jun 10, 2025 23:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantRestricted Stock Units · Derivative	1,429	$0.00	$0.00	Disclosure SEC source: 0000950170-25-084559 · ownership.xml · derivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,429 Underlying: Common Stock · 1,429 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: The RSUs vest in full on the one-year anniversary of the date of grant, June 6, 2026. F3 · derivative.expiration_date: The RSUs vest in full on the one-year anniversary of the date of grant, June 6, 2026. Read SEC document
June 06, 2025 Filed Jun 10, 2025 23:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	3,166	$0.00 Strike: $111.91	$0.00	Disclosure SEC source: 0000950170-25-084559 · ownership.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,166 Underlying: Common Stock · 3,166 shares Expires 2035-06-06 F1 · derivative.exercise_date: The options vest in full on the one-year anniversary of the date of grant, June 6, 2026. Read SEC document
June 04, 2025 Filed Jun 5, 2025 20:18 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	30,610	$16.97	$519,451.70	Disclosure SEC source: 0001104659-25-056845 · tm2517227-2_4seq1.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,044,979 F4 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F5 · shares: These shares were sold to cover taxes associated with the settlement of PSUs that were initially granted to the Reporting Person on January 11, 2024. F3 · balance_after: Includes (i) 126,656 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 152,169 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 9,856 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
June 03, 2025 Filed Jun 5, 2025 20:18 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionPerformance Stock Units · Derivative	69,169	$0.00	$0.00	Disclosure SEC source: 0001104659-25-056845 · tm2517227-2_4seq1.xml · derivative · entry 5 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 152,169 Underlying: Common Stock · 69,169 shares Expires not disclosed 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 · derivative.exercise_price: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. Read SEC document
June 03, 2025 Filed Jun 5, 2025 20:18 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionCommon Stock	69,169	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-25-056845 · tm2517227-2_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,075,589 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. F2 · shares: On January 11, 2024, the Reporting Person was granted 221,338 PSUs which vest upon the later of (A) the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs vesting ratably on a quarterly basis over three years thereafter and (B) the first commercial sale of YUTREPIA by the Issuer. Of those PSUs, a total of 69,169 have vested through June 3, 2025. F1 · price: Performance stock units ("PSUs") convert into common stock on a one-for-one basis. F3 · balance_after: Includes (i) 126,656 unvested restricted stock units ("RSUs") of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 152,169 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 9,856 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
April 14, 2025 Filed Apr 16, 2025 21:05 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	14,130	$13.57	$191,744.10	Disclosure SEC source: 0001104659-25-035548 · tm2512499-4_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,006,420 F1 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F2 · shares: These shares of common stock were sold to cover taxes associated with the settlement of restricted stock units ("RSUs"). F3 · balance_after: Includes (i) 126,656 unvested RSUs of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 152,169 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024, (iii) 229,327 RSUs granted to the Reporting Person on January 11, 2025, none of which have vested as of the date of this Form 4 and (iv) 9,856 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
February 21, 2025 Filed Feb 26, 2025 01:00 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	1,408	$0.00 Strike: $137.75	$0.00	Disclosure SEC source: 0000950170-25-027086 · ownership.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,408 Underlying: Common Stock · 1,408 shares Expires 2035-02-20 F1 · shares: Represents 1,408 options elected to be received in lieu of cash compensation earned in 2024. All of such options are immediately exercisable. Read SEC document
January 14, 2025 Filed Jan 14, 2025 21:35 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	22,343	$11.78	$263,200.54	Disclosure SEC source: 0001104659-25-003465 · tm253294-1_4seq1.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,019,177 F4 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F5 · shares: These shares of common stock were sold to cover taxes associated with the settlement of RSUs that were initially granted to the Reporting Person on January 11, 2023 and January 11, 2024. F3 · balance_after: Includes (i) 144,750 unvested RSUs of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 166,003 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024 and (iii) 8,483 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
January 11, 2025 Filed Jan 14, 2025 21:35 UTC	Liquidia Corp LQDA · Entity 1860	GrantPerformance Stock Units · Derivative	229,327	$0.00	$0.00	Disclosure SEC source: 0001104659-25-003465 · tm253294-1_4seq1.xml · derivative · entry 5 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 229,327 Underlying: Common Stock · 229,327 shares Expires not disclosed F8 · derivative.exercise_price: Each performance stock unit ("PSU") converts into one share of the Issuer's common stock. F9 · derivative.exercise_date: On January 11, 2025, the Reporting Person was granted 229,327 PSUs. The PSUs shall vest upon the later of (A) the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2026 and the remaining PSUs shall vest ratably on a quarterly basis over three years thereafter, and (B) the first commercial sale of YUTREPIA by the Issuer. F9 · derivative.expiration_date: On January 11, 2025, the Reporting Person was granted 229,327 PSUs. The PSUs shall vest upon the later of (A) the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2026 and the remaining PSUs shall vest ratably on a quarterly basis over three years thereafter, and (B) the first commercial sale of YUTREPIA by the Issuer. Read SEC document
January 11, 2025 Filed Jan 14, 2025 21:35 UTC	Liquidia Corp LQDA · Entity 1860	GrantCommon Stock	229,327	$0.00	$0.00	Disclosure SEC source: 0001104659-25-003465 · tm253294-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 1,041,520 F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: 25% of the RSUs shall vest on January 11, 2026 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. F3 · balance_after: Includes (i) 144,750 unvested RSUs of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 166,003 unvested RSUs of the 221,338 RSUs granted to the Reporting Person on January 11, 2024 and (iii) 8,483 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
October 14, 2024 Filed Oct 16, 2024 00:06 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	8,053	$11.11	$89,450.31	Disclosure SEC source: 0001104659-24-108765 · tm2426238-2_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 812,193 F1 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F2 · shares: These shares of common stock were sold to cover taxes associated with the settlement of restricted stock units ("RSUs") that were initially granted to the Reporting Person on January 11, 2023. F3 · balance_after: Includes (i) 162,844 unvested RSUs of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 221,338 unvested RSUs granted to the Reporting Person on January 11, 2024, none of which have vested as of the date of this Form 4, and (iii) 8,483 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
July 12, 2024 Filed Jul 15, 2024 22:32 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	8,053	$12.53	$100,904.09	Disclosure SEC source: 0001104659-24-079928 · tm2419492-6_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 818,932 F1 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F2 · shares: These shares of common stock were sold to cover taxes associated with the settlement of restricted stock units ("RSUs") that were initially granted to the Reporting Person on January 11, 2023. F3 · balance_after: Includes (i) 180,937 unvested RSUs of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 221,338 unvested RSUs granted to the Reporting Person on January 11, 2024, none of which have vested as of the date of this Form 4, and (iii) 7,169 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
June 07, 2024 Filed Jun 11, 2024 20:31 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	5,799	$0.00 Strike: $73.90	$0.00	Disclosure SEC source: 0000950170-24-071962 · ownership.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,799 Underlying: Common Stock · 5,799 shares Expires 2034-06-07 F1 · derivative.exercise_date: The options vest in full on the one-year anniversary of the date of grant, June 7, 2025. Read SEC document
April 12, 2024 Filed Apr 16, 2024 21:15 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	8,360	$14.58	$121,888.80	Disclosure SEC source: 0001104659-24-047885 · tm2411915-2_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 826,985 F1 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F2 · shares: These shares of common stock were sold to cover taxes associated with the settlement of restricted stock units ("RSUs") that were initially granted to the Reporting Person on January 11, 2023. F3 · balance_after: Includes (i) 199,031 unvested RSUs of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 221,338 unvested RSUs granted to the Reporting Person on January 11, 2024, none of which have vested as of the date of this Form 4, and (iii) 7,169 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
March 18, 2024 Filed Mar 20, 2024 01:46 UTC	Liquidia Corp LQDA · Entity 1860	SaleCommon Stock	28,583	$15.82	$452,183.06	Disclosure SEC source: 0001104659-24-036345 · tm247887-3_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 835,345 F1 · kind: Transaction effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person on December 15, 2023. F2 · shares: These shares of common stock were sold to cover taxes associated with the settlement of restricted stock units ("RSUs") that were initially granted to the Reporting Person on January 11, 2023. F3 · balance_after: Includes (i) 205,062 unvested RSUs of the 289,500 RSUs granted to the Reporting Person on January 11, 2023, (ii) 221,338 unvested RSUs granted to the Reporting Person on January 11, 2024, none of which have vested as of the date of this Form 4, and (iii) 7,169 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
March 15, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	2,347	$0.00 Strike: $29.91	$0.00	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · derivative · entry 10 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,347 shares Expires 2032-03-04 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: Represents an exercise of stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. Read SEC document
March 15, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	2,347	$71.61	$168,062.10	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · nonDerivative · entry 6 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 120,756 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. Read SEC document
March 15, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	2,347	$29.91	$70,198.77	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · nonDerivative · entry 5 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 123,103 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: Represents an exercise of stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. Read SEC document
March 14, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	16,976	$0.00 Strike: $25.53	$0.00	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · derivative · entry 9 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,976 shares Expires 2032-06-03 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: Represents an exercise of stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. Read SEC document
March 14, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionStock Option (Right to Buy) · Derivative	13,000	$0.00 Strike: $22.03	$0.00	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · derivative · entry 8 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,000 shares Expires 2029-06-07 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: Represents an exercise of stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. Read SEC document
March 14, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	16,976	$69.70	$1,183,261.15	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · nonDerivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 120,756 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. Read SEC document
March 14, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	16,976	$25.53	$433,397.28	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · nonDerivative · entry 3 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 137,732 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: Represents an exercise of stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. Read SEC document
March 14, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	SaleCommon Stock	13,000	$69.70	$906,126.00	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · nonDerivative · entry 2 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 120,756 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. Read SEC document
March 14, 2024 Filed Mar 16, 2024 00:05 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	Exercise / conversionCommon Stock	13,000	$22.03	$286,390.00	Disclosure SEC source: 0000950170-24-032432 · ownership.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 133,756 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: Represents an exercise of stock options. F2 · kind: Such transaction was pursuant to a pre-approved 10b5-1 plan. Read SEC document
February 27, 2024 Filed Feb 29, 2024 23:34 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	1,425	$0.00 Strike: $84.00	$0.00	Disclosure SEC source: 0000950170-24-023375 · ownership.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,425 Underlying: Common Stock · 1,425 shares Expires 2034-02-26 F1 · shares: Represents 1,425 options elected to be received in lieu of cash compensation earned in 2023. All of such options are immediately exercisable. Read SEC document
January 11, 2024 Filed Jan 16, 2024 22:00 UTC	Liquidia Corp LQDA · Entity 1860	GrantPerformance Stock Units · Derivative	221,338	$0.00	$0.00	Disclosure SEC source: 0001104659-24-004148 · tm243427-1_4seq1.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 221,338 Underlying: Common Stock · 221,338 shares Expires not disclosed F6 · derivative.exercise_price: Each performance stock unit ("PSU") converts into one share of the Issuer's common stock. F7 · derivative.exercise_date: On January 11, 2024, the Reporting Person was granted 221,338 PSUs. The PSUs shall vest upon the later of (A) the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs shall vest ratably on a quarterly basis over three years thereafter and (B) the first commercial sale of YUTREPIA by the Issuer. F7 · derivative.expiration_date: On January 11, 2024, the Reporting Person was granted 221,338 PSUs. The PSUs shall vest upon the later of (A) the following time-based vesting schedule: 25% of the PSUs shall vest on January 11, 2025 and the remaining PSUs shall vest ratably on a quarterly basis over three years thereafter and (B) the first commercial sale of YUTREPIA by the Issuer. Read SEC document
January 11, 2024 Filed Jan 16, 2024 22:00 UTC	Liquidia Corp LQDA · Entity 1860	GrantCommon Stock	221,338	$0.00	$0.00	Disclosure SEC source: 0001104659-24-004148 · tm243427-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 862,143 F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: 25% of the RSUs shall vest on January 11, 2025 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. F3 · balance_after: Includes 5,384 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
December 14, 2023 Filed Dec 18, 2023 22:02 UTC	Liquidia Corp LQDA · Entity 1860	PurchaseCommon Stock	139,665	$7.16	$1,000,001.40	Disclosure SEC source: 0001104659-23-126934 · tm2332275-8_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 640,805 F1 · shares: Represents shares of Issuer common stock purchased by the Reporting Person pursuant to that certain Common Stock Purchase Agreement, dated as of December 14, 2023, by and among the Issuer and the Reporting Person. F2 · balance_after: Includes 5,384 shares acquired under the Liquidia Corporation 2020 Employee Stock Purchase Plan. Read SEC document
June 02, 2023 Filed Jun 6, 2023 22:22 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	5,681	$0.00 Strike: $74.12	$0.00	Disclosure SEC source: 0001209191-23-034849 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,681 Underlying: Common Stock · 5,681 shares Expires 2033-06-02 F1 · derivative.exercise_date: The option vests in full on the one-year anniversary of the date of grant, June 2, 2024. Read SEC document
March 02, 2023 Filed Mar 6, 2023 23:13 UTC	Axsome Therapeutics, Inc. AXSM · Entity 2469	GrantStock Option (Right to Buy) · Derivative	2,082	$0.00 Strike: $65.32	$0.00	Disclosure SEC source: 0001209191-23-016454 · doc4.xml · derivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,082 Underlying: Common Stock · 2,082 shares Expires 2033-03-01 F1 · shares: Represents 2,082 options elected to be received in lieu of cash compensation earned in 2022. All of such options are immediately exercisable. Read SEC document
January 11, 2023 Filed Jan 13, 2023 22:17 UTC	Liquidia Corp LQDA · Entity 1860	GrantStock Option (Right to Buy) · Derivative	371,154	$0.00 Strike: $6.17	$0.00	Disclosure SEC source: 0001104659-23-003881 · tm232332-4_4seq1.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 371,154 Underlying: Common Stock · 371,154 shares Expires 2033-01-11 F3 · derivative.exercise_date: The options will vest ratably on a monthly basis over four years with the first vesting date to occur on February 11, 2023 and on the last day of each month thereafter. Read SEC document
January 11, 2023 Filed Jan 13, 2023 22:17 UTC	Liquidia Corp LQDA · Entity 1860	GrantCommon Stock	289,500	$0.00	$0.00	Disclosure SEC source: 0001104659-23-003881 · tm232332-4_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 496,749 F1 · kind: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: 25% of the RSUs shall vest on January 11, 2024 and the remaining RSUs shall vest ratably on a quarterly basis over three years thereafter. Read SEC document
January 03, 2023 Filed Jan 5, 2023 22:35 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionRestricted Stock Unit · Derivative	15,807	$0.00	$0.00	Disclosure SEC source: 0001104659-23-001529 · tm232332-1_4seq1.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,807 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document
January 03, 2023 Filed Jan 5, 2023 22:35 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionCommon Stock	15,807	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-23-001529 · tm232332-1_4seq1.xml · nonDerivative · entry 1 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,249 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. F2 · shares: On January 3, 2022, the Reporting Person was granted 63,230 RSUs (the "2022 RSUs") with 25% vesting quarterly through the first anniversary of the grant date. As of January 3, 2023, the 2022 RSUs have fully vested. F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F3 · balance_after: The number of securities shown to be beneficially owned following the transaction being reported in this Form 4 reflects a downward adjustment of 15,808 shares of common stock due to a previous clerical error in double counting a vested portion of the 2022 RSUs in that certain previous Form 4 filed by the Reporting Person on October 4, 2022. Read SEC document
October 03, 2022 Filed Oct 4, 2022 20:25 UTC	Liquidia Corp LQDA · Entity 1860	Exercise / conversionRestricted Stock Unit · Derivative	47,423	$0.00	$0.00	Disclosure SEC source: 0001104659-22-105846 · tm2227425-1_4seq1.xml · derivative · entry 4 JEFFS ROGER · CIK 0001231615 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,807 Underlying: Common Stock · 47,423 shares Expires not disclosed 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 · derivative.exercise_price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis. Read SEC document

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