Vault-13

AXSOME THERAPEUTICS INC AXSM

COM · Common Stock · CUSIP 05464T104 · ISIN US05464T1043

American biopharmaceutical company

233 institutional holders +35 vs Q1 2023
36,393,65736.4m shares reported held*
77.1% of all shares outstanding*
$2.6bnreported value*
47 new 88 added 56 reduced 16 sold out net bought ≈ $202.9m (+2.8m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($1.1m this quarter). Holder counts are more reliable. Shares outstanding: 47.2m as of 2023-07-31, from the company's own SEC filing; the percentage can still exceed 100%: lent-out shares are counted by the lender and the buyer, and some reports overlap without saying so. Implied quarter-end price ≈ $71.84. Options: 20 managers hold calls ($105.6m notional), 16 hold puts ($60.5m).

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0100200300Q3 22: 189Q4 22: 219Q1 23: 198Q2 23: 233233Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 2022189
Q4 2022219
Q1 2023198
Q2 2023233

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
2000200Q4 22: 110 bought or addedQ4 22: 101 cut or sold outQ4 22Q1 23: 90 bought or addedQ1 23: 106 cut or sold outQ1 23Q2 23: 135 bought or addedQ2 23: 72 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022110101
Q1 202390106
Q2 202313572

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$50m$100m$150m$200mQ3 22 calls: $113.6mQ3 22 puts: $113.3mQ3 22P/C 1.00Q4 22 calls: $179.1mQ4 22 puts: $132.8mQ4 22P/C 0.74Q1 23 calls: $79.2mQ1 23 puts: $56.9mQ1 23P/C 0.72Q2 23 calls: $105.6mQ2 23 puts: $60.5mQ2 23P/C 0.57
Numbers
QuarterCallsPutsP/C
Q3 2022$113.6m$113.3m1.00
Q4 2022$179.1m$132.8m0.74
Q1 2023$79.2m$56.9m0.72
Q2 2023$105.6m$60.5m0.57

Biggest buyers

RA CAPITAL MANAGEMENT, L.P. New +1,000,000+1.0m
RTW INVESTMENTS, LP Added +503,422+503.4k
PICTET ASSET MANAGEMENT SA Added +460,534+460.5k
Deep Track Capital, LP New +384,200+384.2k
Fairmount Funds Management LLC Added +333,333+333.3k
PERCEPTIVE ADVISORS LLC New +271,493+271.5k
VANGUARD GROUP INC Added +257,003+257.0k
BlackRock Inc. Added +255,319+255.3k
CITADEL ADVISORS LLC Added +255,297+255.3k
JANE STREET GROUP, LLC Added +254,158+254.2k

Biggest sellers

Point72 Asset Management, L.P. Reduced -701,824-701.8k
ADAGE CAPITAL PARTNERS GP, L.L.C. Reduced -605,583-605.6k
FMR LLC Reduced -600,942-600.9k
Holocene Advisors, LP Sold out -529,144-529.1k
MILLENNIUM MANAGEMENT LLC Reduced -304,264-304.3k
Woodline Partners LP Reduced -130,900-130.9k
GOLDMAN SACHS GROUP INC Reduced -129,381-129.4k
MORGAN STANLEY Reduced -124,455-124.5k
Ghost Tree Capital, LLC Reduced -115,000-115.0k
WMS Partners, LLC Reduced -113,289-113.3k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $25.1m349.9k shares
CITADEL ADVISORS LLC Added $17.8m248.0k shares
PFM Health Sciences, LP New $14.4m200.0k shares
JANE STREET GROUP, LLC Reduced $13.4m186.2k shares
GROUP ONE TRADING LLC Added $11.1m155.1k shares
SIMPLEX TRADING, LLC Reduced $5.0m69.0k shares
PEAK6 Investments LLC Added $2.9m40.0k shares
Balyasny Asset Management L.P. New $2.8m39.0k shares
BOOTHBAY FUND MANAGEMENT, LLC Added $2.7m36.9k shares
D. E. Shaw & Co., Inc. Added $2.5m34.6k shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $16.4m227.6k shares
CITADEL ADVISORS LLC Reduced $10.3m143.6k shares
CLEAR STREET LLC New $9.4m131.5k shares
GROUP ONE TRADING LLC Added $6.7m93.5k shares
JANE STREET GROUP, LLC Reduced $6.5m90.5k shares
SIMPLEX TRADING, LLC Reduced $3.7m51.8k shares
BOOTHBAY FUND MANAGEMENT, LLC Added $2.7m36.9k shares
Caption Management, LLC Reduced $2.0m27.5k shares
WOLVERINE TRADING, LLC Added $1.6m21.8k shares
Walleye Capital LLC New $323.4k4.5k shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
BlackRock, Inc. 13G · institution filed 2026-07-27 5.3% 2.7m≈ $669.8m 2026-07-27

Fell to 5% or below in the last year: VANGUARD GROUP INC (0.0%, 2026-03-26)

Insider purchases and sales in Q2 2023

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
404Q3 21: 0 buyingQ3 21: 0 sellingQ4 21: 4 buyingQ4 21: 0 sellingQ4 21Q1 22: 0 buyingQ1 22: 0 sellingQ2 22: 0 buyingQ2 22: 0 sellingQ2 22Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 0 buyingQ4 22: 0 sellingQ4 22Q1 23: 0 buyingQ1 23: 0 sellingQ2 23: 0 buyingQ2 23: 0 sellingQ2 23
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q3 20210—0——
Q4 20214$345.1k0——
Q1 20220—0——
Q2 20220—0——
Q3 20220—0——
Q4 20220—0——
Q1 20230—0——
Q2 20230—0——

None reported in Q2 2023.

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 RTW INVESTMENTS, LP 5.86% of their portfolio NEW YORK, NY 4,284,2774.3m $307.9m $307.9m 5.86% Added +503.4k +503,422
2 VANGUARD GROUP INC 0.01% of their portfolio Valley Forge, PA 3,742,7533.7m $269.0m $269.0m 0.01% Added +257.0k +257,003
3 BlackRock Inc. 0.01% of their portfolio New York, NY 2,723,5432.7m $195.7m $195.7m 0.01% Added +255.3k +255,319
4 Fairmount Funds Management LLC 23.76% of their portfolio WEST CONSHOHOCKEN, PA 2,344,9802.3m $168.5m $168.5m 23.76% Added +333.3k +333,333
5 BVF INC/IL 4.27% of their portfolio San Francisco, CA 2,131,1002.1m $153.1m $153.1m 4.27% Unchanged
6 FMR LLC 0.01% of their portfolio BOSTON, MA 2,128,9662.1m $153.0m $153.0m 0.01% Reduced -600.9k -600,942
7 RA CAPITAL MANAGEMENT, L.P. 1.36% of their portfolio BOSTON, MA 1,000,0001.0m $71.9m $71.9m 1.36% New
8 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 825,189825.2k $59.3m $59.3m 0.00% Added +29.1k +29,144
9 ALETHEA CAPITAL MANAGEMENT, LLC 58.40% of their portfolio MERCER ISLAND, WA 759,944759.9k $54.6m $54.6m 58.40% Reduced -25.7k -25,739
10 MILLENNIUM MANAGEMENT LLC 0.06% of their portfolio NEW YORK, NY 735,103735.1k $52.8m $52.8m 0.06% Reduced -304.3k -304,264
11 GEODE CAPITAL MANAGEMENT, LLC 0.01% of their portfolio BOSTON, MA 709,768709.8k $51.0m $51.0m 0.01% Added +57.3k +57,332
12 Bellevue Group AG 0.59% of their portfolio ZURICH, V8 574,363574.4k $41.3m $41.3m 0.59% Added +133.0k +133,013
13 Avidity Partners Management LP 1.37% of their portfolio DALLAS, TX 545,000545.0k $39.2m $39.2m 1.37% Reduced -74.2k -74,200
14 PFM Health Sciences, LP 1.43% of their portfolio SAN FRANCISCO, CA 495,582495.6k $35.6m $35.6m 1.43% Reduced -110.5k -110,499
15 Point72 Asset Management, L.P. 0.12% of their portfolio STAMFORD, CT 468,003468.0k $33.6m $33.6m 0.12% Reduced -701.8k -701,824
16 PICTET ASSET MANAGEMENT SA 0.04% of their portfolio GENEVA 73, V8 463,842463.8k $33.3m $33.3m 0.04% Added +460.5k +460,534
17 CITADEL ADVISORS LLC 0.04% of their portfolio MIAMI, FL 454,318454.3k $32.6m $32.6m 0.04% Added +255.3k +255,297
18 ADAGE CAPITAL PARTNERS GP, L.L.C. 0.07% of their portfolio Boston, MA 444,417444.4k $31.9m $31.9m 0.07% Reduced -605.6k -605,583
19 Woodline Partners LP 0.38% of their portfolio San Francisco, CA 439,925439.9k $31.6m $31.6m 0.38% Reduced -130.9k -130,900
20 Boxer Capital, LLC 1.33% of their portfolio San Diego, CA 400,000400.0k $28.7m $28.7m 1.33% Unchanged
21 Nicholas Investment Partners, LP 1.94% of their portfolio RANCHO SANTA FE, CA 394,884394.9k $28.4m $28.4m 1.94% Added +54.5k +54,454
22 Hood River Capital Management LLC 0.82% of their portfolio PALM BEACH GARDENS, FL 384,361384.4k $27.6m $27.6m 0.82% Added +3.5k +3,539
23 Deep Track Capital, LP 1.29% of their portfolio GREENWICH, CT 384,200384.2k $27.6m $27.6m 1.29% New
24 Cormorant Asset Management, LP 1.39% of their portfolio BOSTON, MA 340,000340.0k $24.4m $24.4m 1.39% Added +40.0k +40,000
25 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 326,141326.1k $23.4m $23.4m 0.00% Added +8.1k +8,089
26 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 323,317323.3k $23.2m $23.2m 0.00% Reduced -124.5k -124,455
27 TANG CAPITAL MANAGEMENT LLC 3.39% of their portfolio SAN DIEGO, CA 320,000320.0k $23.0m $23.0m 3.39% Unchanged
28 IRIDIAN ASSET MANAGEMENT LLC/CT 2.09% of their portfolio WESTPORT, CT 312,408312.4k $22.4m $22.4m 2.09% Added +21.6k +21,636
29 JANE STREET GROUP, LLC 0.03% of their portfolio NEW YORK, NY 275,902275.9k $19.8m $19.8m 0.03% Added +254.2k +254,158
30 FARALLON CAPITAL MANAGEMENT, L.L.C. 0.12% of their portfolio SAN FRANCISCO, CA 272,800272.8k $19.6m $19.6m 0.12% Not comparable
31 PERCEPTIVE ADVISORS LLC 0.57% of their portfolio NEW YORK, NY 271,493271.5k $19.5m $19.5m 0.57% New
32 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.01% of their portfolio SAN FRANCISCO, CA 268,414268.4k $19.3m $19.3m 0.01% Added +19.3k +19,296
33 Driehaus Capital Management LLC 0.23% of their portfolio Chicago, IL 248,772248.8k $17.9m $17.9m 0.23% Added +82.3k +82,267
34 FRONTIER CAPITAL MANAGEMENT CO LLC 0.15% of their portfolio Boston, MA 222,220222.2k $16.0m $16.0m 0.15% Added +181.5k +181,515
35 NORGES BANK 0.00% of their portfolio OSLO, Q8 210,222210.2k $15.1m $15.1m 0.00% Unchanged
36 Tri Locum Partners LP 5.35% of their portfolio NEW YORK, NY 200,080200.1k $14.4m $14.4m 5.35% Added +50.9k +50,875
37 WELLINGTON MANAGEMENT GROUP LLP 0.00% of their portfolio Boston, MA 199,711199.7k $14.4m $14.4m 0.00% New
38 MARSHALL WACE, LLP 0.03% of their portfolio LONDON, X0 191,511191.5k $13.8m $13.8m 0.03% Added +184.4k +184,390
39 SEI INVESTMENTS CO 0.02% of their portfolio OAKS, PA 184,267184.3k $13.2m $13.2m 0.02% Added +60.2k +60,158
40 Sofinnova Investments, Inc. 0.85% of their portfolio Menlo Park, CA 179,242179.2k $12.9m $12.9m 0.85% Added +58.3k +58,346
41 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 173,232173.2k $12.4m $12.4m 0.00% Reduced -924 -924
42 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 171,572171.6k $12.3m $12.3m 0.00% Added +111.0k +111,045
43 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 161,086161.1k $11.6m $11.6m 0.00% Added +36.0k +35,970
44 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 139,939139.9k $10.1m $10.1m 0.00% Reduced -129.4k -129,381
45 US BANCORP \DE\ 0.02% of their portfolio MINNEAPOLIS, MN 139,732139.7k $10.0m $10.0m 0.02% Added +4.2k +4,241
46 CLEAR STREET LLC 0.23% of their portfolio NEW YORK, NY 131,500131.5k $9.4m $9.4m 0.23% New
47 Alyeska Investment Group, L.P. 0.07% of their portfolio CHICAGO, IL 125,000125.0k $9.0m $9.0m 0.07% New
48 Cannell & Co. 0.28% of their portfolio New York, NY 119,210119.2k $8.6m $8.6m 0.28% Unchanged
49 PUTNAM INVESTMENTS LLC 0.01% of their portfolio BOSTON, MA 117,307117.3k $8.4m $8.4m 0.01% Added +2.5k +2,487
50 Atika Capital Management LLC 1.01% of their portfolio NEW YORK, NY 112,000112.0k $8.0m $8.0m 1.01% Reduced -43.0k -43,000
51 Ghost Tree Capital, LLC 2.85% of their portfolio NEW YORK, NY 110,000110.0k $7.9m $7.9m 2.85% Reduced -115.0k -115,000
52 PEREGRINE CAPITAL MANAGEMENT LLC 0.21% of their portfolio MINNEAPOLIS, MN 107,533107.5k $7.7m $7.7m 0.21% Reduced -748 -748
53 Allspring Global Investments Holdings, LLC 0.01% of their portfolio CHARLOTTE, NC 102,613102.6k $7.4m $7.4m 0.01% Added +101.0k +101,027
54 Nuveen Asset Management, LLC 0.00% of their portfolio CHICAGO, IL 101,215101.2k $7.3m $7.3m 0.00% Reduced -13.3k -13,307
55 HHLR ADVISORS, LTD. 0.15% of their portfolio GRAND CAYMAN, E9 100,000100.0k $7.2m $7.2m 0.15% New
56 WCM INVESTMENT MANAGEMENT, LLC 0.02% of their portfolio LAGUNA BEACH, CA 94,27894.3k $6.8m $6.8m 0.02% Added +5.7k +5,733
57 MPM BIOIMPACT LLC 1.35% of their portfolio BOSTON, MA 93,58693.6k $6.7m $6.7m 1.35% Added +23.2k +23,184
58 Artia Global Partners LP 2.18% of their portfolio MIAMI, FL 87,84887.8k $6.3m $6.3m 2.18% New
59 Walleye Capital LLC 0.11% of their portfolio NEW YORK, NY 86,28086.3k $6.2m $6.2m 0.11% New
60 Lindbrook Capital, LLC 0.65% of their portfolio CALABASAS, CA 84,46984.5k $6.1m $6.1m 0.65% Added +248 +248
61 WMS Partners, LLC 0.45% of their portfolio TOWSON, MD 80,00080.0k $5.7m $5.7m 0.45% Reduced -113.3k -113,289
62 Hennion & Walsh Asset Management, Inc. 0.33% of their portfolio Parsippany, NJ 77,43777.4k $5.6m $5.6m 0.33% Reduced -16.8k -16,827
63 Swiss National Bank 0.00% of their portfolio ZURICH, V8 75,80075.8k $5.4m $5.4m 0.00% Added +5.5k +5,500
64 Schonfeld Strategic Advisors LLC 0.05% of their portfolio NEW YORK, NY 75,31275.3k $5.4m $5.4m 0.05% Added +65.0k +64,999
65 Monashee Investment Management LLC 1.29% of their portfolio Boston, MA 75,00075.0k $5.4m $5.4m 1.29% New
66 Privium Fund Management B.V. 1.52% of their portfolio AMSTERDAM, P7 72,03272.0k $5.3m $5.3m 1.52% Reduced -87.4k -87,442
67 NATIONAL BANK OF CANADA /FI/ 0.01% of their portfolio MONTREAL, A8 69,42369.4k $5.0m $5.0m 0.01% New
68 Moody Aldrich Partners LLC 0.90% of their portfolio MARBLEHEAD, MA 64,69364.7k $4.6m $4.6m 0.90% Added +32.1k +32,114
69 CITIGROUP INC 0.01% of their portfolio NEW YORK, NY 62,75862.8k $4.5m $4.5m 0.01% Added +14.4k +14,436
70 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 60,57360.6k $4.4m $4.4m 0.00% Added +20.4k +20,350
71 INTERNATIONAL BIOTECHNOLOGY TRUST PLC 1.27% of their portfolio London, X0 58,30058.3k $4.2m $4.2m 1.27% New
72 DEUTSCHE BANK AG\ 0.00% of their portfolio FRANKFURT AM MAIN, 2M 57,63957.6k $4.1m $4.1m 0.00% Reduced -7.2k -7,220
73 VOYA INVESTMENT MANAGEMENT LLC 0.00% of their portfolio ATLANTA, GA 55,45755.5k $4.0m $4.0m 0.00% Added +43.3k +43,294
74 Candriam S.C.A. 0.03% of their portfolio STRASSEN, N4 50,08450.1k $3.6m $3.6m 0.03% Reduced -45.0k -45,000
75 HighVista Strategies LLC 1.62% of their portfolio BOSTON, MA 49,40049.4k $3.5m $3.5m 1.62% Reduced -11.4k -11,374
76 BALDWIN WEALTH PARTNERS LLC/MA 0.28% of their portfolio Marion, MA 47,99548.0k $3.4m $3.4m 0.28% Added +500 +500
77 RHUMBLINE ADVISERS 0.00% of their portfolio BOSTON, MA 46,71046.7k $3.4m $3.4m 0.00% Added +2.6k +2,633
78 MACQUARIE GROUP LTD 0.00% of their portfolio Sydney, NSW 2000, C3 46,09146.1k $3.3m $3.3m 0.00% Added +26.2k +26,187
79 PRINCIPAL FINANCIAL GROUP INC 0.00% of their portfolio DES MOINES, IA 43,54143.5k $3.1m $3.1m 0.00% Added +33.8k +33,821
80 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 0.00% of their portfolio WEST SACRAMENTO, CA 41,57741.6k $3.0m $3.0m 0.00% Added +1.0k +1,042
81 CIBC Private Wealth Group LLC 0.00% of their portfolio ATLANTA, GA 40,78040.8k $2.9m $2.9m 0.00% Added +7.6k +7,590
82 ALLIANCEBERNSTEIN L.P. 0.00% of their portfolio NASHVILLE, TN 40,70040.7k $2.9m $2.9m 0.00% Unchanged
83 Rhenman & Partners Asset Management AB 0.30% of their portfolio Stockholm, V7 40,10040.1k $2.9m $2.9m 0.30% Added +25.1k +25,100
84 Altium Capital Management LLC 2.25% of their portfolio NEW YORK, NY 40,00040.0k $2.9m $2.9m 2.25% New
85 MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC 0.03% of their portfolio New York, NY 38,32038.3k $2.8m $2.8m 0.03% Reduced -2.9k -2,925
86 STATE OF WISCONSIN INVESTMENT BOARD 0.01% of their portfolio MADISON, WI 38,24538.2k $2.7m $2.7m 0.01% Added +8.6k +8,649
87 Maven Securities LTD 0.36% of their portfolio ST HELIER, Y9 35,00035.0k $2.5m $2.5m 0.36% New
88 SVB FINANCIAL GROUP 4.60% of their portfolio Dallas, TX 33,84933.8k $2.4m $2.4m 4.60% Unchanged
89 Lisanti Capital Growth, LLC 0.33% of their portfolio NEW YORK, NY 33,32533.3k $2.4m $2.4m 0.33% New
90 Legal & General Group Plc 0.00% of their portfolio London, X0 33,32433.3k $2.4m $2.4m 0.00% Added +2.7k +2,676
91 State of New Jersey Common Pension Fund D 0.01% of their portfolio TRENTON, NJ 32,47332.5k $2.3m $2.3m 0.01% Reduced -4.6k -4,606
92 ALPS ADVISORS INC 0.02% of their portfolio Denver, CO 32,02832.0k $2.3m $2.3m 0.02% Added +3.4k +3,353
93 TUDOR INVESTMENT CORP ET AL 0.04% of their portfolio STAMFORD, CT 30,32130.3k $2.2m $2.2m 0.04% Added +6.5k +6,453
94 GROUP ONE TRADING LLC 0.09% of their portfolio CHICAGO, IL 30,16930.2k $2.2m $2.2m 0.09% Added +23.5k +23,473
95 DekaBank Deutsche Girozentrale 0.00% of their portfolio FRANKFURT, 2M 30,00030.0k $2.1m $2.1m 0.00% Unchanged
96 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 29,65629.7k $2.1m $2.1m 0.00% Added +22.6k +22,565
97 Virtu Financial LLC 0.16% of their portfolio New York, NY 29,57929.6k $2.1m $2.1m 0.16% Added +23.5k +23,508
98 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 29,02029.0k $2.1m $2.1m 0.00% Reduced -3.5k -3,517
99 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 28,39028.4k $2.0m $2.0m 0.00% Reduced -37.9k -37,878
100 CWM, LLC 0.01% of their portfolio OMAHA, NE 28,02628.0k $2.0m $2.0m 0.01% Added +28.0k +27,996