Pizzie Nick

SEC source: 0001193125-26-264035 · ownership.xml · derivative · entry 4

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 72,000

Underlying: Common Stock · 33,000 shares

Expires 2028-05-16

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

SEC source: 0001193125-26-264035 · ownership.xml · nonDerivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,867

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

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 $236.46 and $242.35.

F5 · balance_after: Includes the prior purchase of shares of common stock pursuant to the Issuer's Employee Stock Purchase Plan.

SEC source: 0001193125-26-264035 · ownership.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 75,867

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 which was held for over 8 years and exercised prior to the 10-year expiration date of such options.

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

F5 · balance_after: Includes the prior purchase of shares of common stock pursuant to the Issuer's Employee Stock Purchase Plan.

SEC source: 0001193125-26-174412 · ownership.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,188

Underlying: Common Stock · 8,188 shares

Expires not disclosed

F1 · derivative.exercise_price: Each performance stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Each PSU will vest upon achievement of certain sales and commercial launch milestones, subject to the reporting person's continued service as of each vesting date.

F2 · derivative.expiration_date: Each PSU will vest upon achievement of certain sales and commercial launch milestones, subject to the reporting person's continued service as of each vesting date.

SEC source: 0001193125-26-083608 · ownership.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,570

Underlying: Common Stock · 18,570 shares

Expires 2036-02-26

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · 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 26, 2030. 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 2025 Long-Term Incentive Plan ("2025 Plan")), (ii) the reporting person's separation of service from the Issuer (including termination with or without Cause (as defined in the 2025 Plan), or termination due to death or Total and Permanent Disability (as defined in the 2025 Plan)), or (iii) seven (7) years from the date of grant.

SEC source: 0001193125-26-021378 · ownership.xml · derivative · entry 4

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 12,000 shares

Expires 2028-05-16

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

SEC source: 0001193125-26-021378 · ownership.xml · nonDerivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,588

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 $185.09 and $191.12.

F5 · balance_after: Includes the prior purchase of shares of common stock pursuant to the Issuer's Employee Stock Purchase Plan.

SEC source: 0001193125-26-021378 · ownership.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 54,588

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 which was held for 8 years and exercised prior to the 10-year expiration date of such options.

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

F5 · balance_after: Includes the prior purchase of shares of common stock pursuant to the Issuer's Employee Stock Purchase Plan.

SEC source: 0000950170-25-027070 · ownership.xml · derivative · entry 3

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,423

Underlying: Common Stock · 9,423 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.

SEC source: 0000950170-25-027070 · ownership.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,423

Underlying: Common Stock · 9,423 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.

SEC source: 0000950170-25-027070 · ownership.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,516

Underlying: Common Stock · 9,516 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.

SEC source: 0000950170-25-021716 · ownership.xml · derivative · entry 7

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2028-05-16

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 which was held for 7 years and exercised prior to the 10 year expiration date of such options.

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

SEC source: 0000950170-25-021716 · ownership.xml · nonDerivative · entry 4

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,187

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

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 $130.06 and $131.72.

SEC source: 0000950170-25-021716 · ownership.xml · nonDerivative · entry 3

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,187

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 which was held for 7 years and exercised prior to the 10 year expiration date of such options.

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

SEC source: 0000950170-25-021716 · ownership.xml · derivative · entry 6

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2028-05-16

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 which was held for 7 years and exercised prior to the 10 year expiration date of such options.

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

SEC source: 0000950170-25-021716 · ownership.xml · nonDerivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,187

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

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 $128.50 and $131.64.

SEC source: 0000950170-25-021716 · ownership.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 54,187

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 which was held for 7 years and exercised prior to the 10 year expiration date of such options.

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

SEC source: 0000950170-24-023364 · ownership.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,774

Underlying: Common Stock · 15,774 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.

SEC source: 0000950170-24-023364 · ownership.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,722

Underlying: Common Stock · 28,722 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.

SEC source: 0001209191-23-016457 · doc4.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,554

Underlying: Common Stock · 20,554 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.

SEC source: 0001209191-23-016457 · doc4.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,246

Underlying: Common Stock · 36,246 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.

SEC source: 0001209191-22-017158 · doc4.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,176

Underlying: Common Stock · 41,176 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.

SEC source: 0001209191-22-017158 · doc4.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,872

Underlying: Common Stock · 77,872 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.

SEC source: 0001209191-21-066005 · doc4.xml · nonDerivative · entry 4

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTMA account

Disclosed balance after: 142

F5 · ownership.nature: Represents 142 shares of common stock indirectly held by the reporting person as custodian for his other son's UTMA account. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-21-066005 · doc4.xml · nonDerivative · entry 3

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTMA account

Disclosed balance after: 145

F4 · ownership.nature: Represents 145 shares of common stock indirectly held by the reporting person as custodian for his daughter's UTMA account. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-21-066005 · doc4.xml · nonDerivative · entry 2

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTMA account

Disclosed balance after: 201

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $35.42 to $35.44, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Represents 141 shares of common stock indirectly held by the reporting person as custodian for his son's UTMA account. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other 4.

SEC source: 0001209191-21-066005 · doc4.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,789

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $35.39 to $35.88, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-21-064589 · doc4.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,086

Underlying: Common Stock · 36,086 shares

Expires 2031-11-11

F1 · derivative.exercise_date: The option will start to vest one year from November 12, 2021 and then will vest in substantially equal quarterly installments over three years such that the option will be fully vested on November 12, 2025.

SEC source: 0000899243-21-010811 · doc4.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,208

Underlying: Common Stock · 19,208 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 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.

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.

SEC source: 0000899243-21-010811 · doc4.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,086

Underlying: Common Stock · 36,086 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.

SEC source: 0001104659-20-078440 · a4.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,217

F1 · shares: 777 shares were purchased by the Reporting Person's IRA.

SEC source: 0001179110-20-004011 · edgar.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,645

Underlying: Common Stock · 18,645 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.

SEC source: 0001179110-20-004011 · edgar.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,880

Underlying: Common Stock · 60,880 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.

SEC source: 0001104659-20-139274 · tm2039202-1_4seq1.xml · derivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,767

Underlying: Common Stock · 14,767 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.

SEC source: 0001104659-20-139274 · tm2039202-1_4seq1.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,237

Underlying: Common Stock · 48,237 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.

SEC source: 0001179110-19-011012 · edgar.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,813

Underlying: Common Stock · 25,813 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.

SEC source: 0001104659-19-051908 · a4.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,440

F1 · shares: 2,000 shares were purchased by the Reporting Person's Roth IRA and 180 shares were purchased by the Reporting Person's IRA.

SEC source: 0001104659-19-034903 · a4.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,920

SEC source: 0001104659-19-016571 · a4.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,102

Underlying: Common Stock · 75,102 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.

SEC source: 0001104659-19-016424 · a4.xml · nonDerivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,340

F2 · price: The price reported in Column 4 is an average price. These shares were purchased by the reporting person in multiple transactions at prices ranging from $12.57 to $12.59, inclusive. The reporting person undertakes to provide to Axsome Therapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-19-016424 · a4.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By UTMA account

Disclosed balance after: 60

F1 · ownership.direct: Represents 60 shares of common stock purchased by the reporting person as custodian for his son's UTMA account. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001104659-18-041289 · a4.xml · nonDerivative · entry 2

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

SEC source: 0001104659-18-041289 · a4.xml · nonDerivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400

SEC source: 0001104659-18-036457 · a4.xml · derivative · entry 1

Pizzie Nick · CIK 0001742143 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,000

Underlying: Common Stock · 132,000 shares

Expires 2028-05-16

F1 · derivative.exercise_date: The reporting person was granted stock options pursuant to the Issuer's 2015 Omnibus Incentive Plan. The stock options vest 25% on the first anniversary of the date of grant and 75% in equal increments on a quarterly basis for three years thereafter.