| Accession Number: | 0001104659-19-051908 |
| Date: | 2019-09-26 |
| Issuer: | AXSOME THERAPEUTICS, INC. (AXSM) |
| Original Submission Date: |
PIZZIE NICK
C/O AXSOME THERAPEUTICS, INC.
200 BROADWAY, 3RD FLOOR
NEW YORK, NY 10038
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | 2019-09-26 | P | 2,180 | a | $24.80 | 40,440 | direct | ||
| COMMON STOCK | 2019-09-26 | 0 | $0.00 | 60 | indirect | f2 |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|
| ID | footnote |
|---|---|
| f1 | 2,000 shares were purchased by the reporting person's roth ira and 180 shares were purchased by the reporting person's ira. |
| f2 | represents 60 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 purpose. |
