Axsome Therapeutics, Inc. Contracts & Agreements

Fourth Amendment to Loan and Security Agreement, dated May 8, 2023, by and among Axsome Therapeutics, Inc., the Lenders who from time to time may be party thereto, and Hercules... (Filed With SEC on August 7, 2023)

Underwriting Agreement, dated June 28, 2023, by and between Axsome Therapeutics, Inc. and SVB Securities LLC, as representative of the underwriters named therein (Filed With SEC on June 29, 2023)

Axsome Therapeutics, Inc. 2023 Employee Stock Purchase Plan (Filed With SEC on June 8, 2023)

Share Transfer Agreement, dated as of May 9, 2022, by and between Axsome Therapeutics, Inc., Hercules Capital, Inc., Hercules Private Global Venture Growth Fund I L.P., and... (Filed With SEC on August 9, 2022)

Form of Warrant Agreement, dated as of May 9, 2022, between Axsome Therapeutics, Inc. and Hercules Capital, Inc (Filed With SEC on August 9, 2022)

Sales Agreement dated March 1, 2022, by and between Axsome Therapeutics, Inc. and SVB Securities LLC (Filed With SEC on March 1, 2022)

Direct Agreement, by and among Axsome Therapeutics, Inc., Antecip Bioventures II LLC, and Hercules Capital Inc., as collateral agent for itself and the Lenders (Filed With SEC on November 5, 2020)

Warrant Agreement, dated as of September 25, 2020, by and between Axsome Therapeutics, Inc. and Hercules Capital, Inc (Filed With SEC on November 5, 2020)

Loan and Security Agreement, dated as of September 25, 2020, by and among Axsome Therapeutics, Inc., the Lenders who from time to time may be party thereto, and Hercules Capital,... (Filed With SEC on November 5, 2020)

WeWork Membership Agreement effective as of August 1, 2020, by and between the Company and 22 Cortlandt Street HQ LLC (Filed With SEC on August 10, 2020)

Axsome Therapeutics, Inc. Amended and Restated 2015 Omnibus Incentive Compensation Plan (Filed With SEC on August 10, 2020)

Description of Securities (Filed With SEC on March 12, 2020)

License Agreement, dated as of January 10, 2020, by and between the Company and Pfizer Inc (Filed With SEC on March 12, 2020)

Axsome Therapeutics, Inc. Form of Restricted Stock Unit Agreement pursuant to the 2015 Omnibus Incentive Compensation Plan (Filed With SEC on March 12, 2020)

Share Transfer Agreement by and between Axsome Therapeutics, Inc. and Pfizer Inc (Filed With SEC on January 13, 2020)

Underwriting Agreement, dated December 18, 2019, by and among Axsome Therapeutics, Inc., SVB Leerink LLC and Morgan Stanley & Co. LLC, as representatives of the underwriters named... (Filed With SEC on December 20, 2019)

Sales Agreement dated December 5, 2019 by and between Axsome Therapeutics, Inc. and SVB Leerink LLC (Filed With SEC on December 5, 2019)

Warrant to Purchase Stock made by the Company in favor of WestRiver Innovation Lending Fund VIII, L.P., dated March 5, 2019, as amended (Filed With SEC on July 29, 2019)

First Amendment to Loan and Security Agreement dated as of July 25, 2019 by and among the Company, Silicon Valley Bank, in its capacity as administrative agent and collateral... (Filed With SEC on July 29, 2019)

Warrant to Purchase Stock made by the Company in favor of WestRiver Innovation Lending Fund VIII, L.P., dated July 25, 2019 (Filed With SEC on July 29, 2019)

Warrant to Purchase Stock made by the Company in favor of Silicon Valley Bank, dated July 25, 2019 (Filed With SEC on July 29, 2019)

Warrant to Purchase Stock made by the Company in favor of Silicon Valley Bank, dated March 5, 2019, as amended (Filed With SEC on July 29, 2019)

Sales Agreement dated May 9, 2019 by and between Axsome Therapeutics, Inc. and SVB Leerink LLC (Filed With SEC on May 9, 2019)

Form of Warrant, with respect to March 2019 Loan and Security Agreement (Filed With SEC on March 15, 2019)

Form of Warrant, with respect to November 2018 First Amendment to Loan and Security Agreement (Filed With SEC on March 15, 2019)

First Amendment to Loan and Security Agreement, dated as of November 26, 2018, by and between the Company and Silicon Valley Bank (Filed With SEC on March 15, 2019)

Loan and Security Agreement, dated as of March 5, 2019, by and among the Company, Silicon Valley Bank and WestRiver Innovation Lending Fund VIII, L.P (Filed With SEC on March 15, 2019)

Form of Purchase Agreement, dated as of September 27, 2018, by and among Axsome Therapeutics, Inc. and the investors party thereto (Filed With SEC on September 28, 2018)

Nick Pizzie Offer Letter, dated April 16, 2018 (Incorporated by reference, Exhibit 10.1 to the Companys Quarterly Report on Form 10-Q, filed May 8, 2018) (Filed With SEC on August 8, 2018)

Nick Pizzie Offer Letter, dated April 16, 2018 (Filed With SEC on May 8, 2018)

Form of Purchase Agreement, dated as of November 30, 2017 among Axsome Therapeutics, Inc. and the purchasers thereunder (Filed With SEC on December 4, 2017)

Form of Warrant (Filed With SEC on December 4, 2017)

Engagement Letter, dated as of November 30, 2017 between Axsome Therapeutics, Inc. and H.C. Wainwright & Co., LLC (Filed With SEC on December 4, 2017)

Sales Agreement dated October 20, 2017 by and between Axsome Therapeutics, Inc. and Leerink Partners LLC (Filed With SEC on October 20, 2017)

John Golubieski Offer Letter, dated July 5, 2017 (Filed With SEC on August 9, 2017)

Axsome Therapeutics, Inc. 3,743,316 Shares Common Stock ($0.0001 par value per share) Underwriting Agreement (Filed With SEC on March 21, 2017)

WARRANT TO PURCHASE STOCK (Filed With SEC on November 10, 2016)

LOAN AND SECURITY AGREEMENT (Filed With SEC on November 10, 2016)

WARRANT TO PURCHASE STOCK (Filed With SEC on November 10, 2016)

AXSOME THERAPEUTICS, INC. 2015 OMNIBUS INCENTIVE COMPENSATION PLAN (Filed With SEC on November 2, 2015)

[] Shares AXSOME THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENT [], 2015 (Filed With SEC on November 2, 2015)

Confidential Treatment has been requested for portions of this exhibit. The copy filed herewith omits the information subject to the confidentiality request. Omissions are... (Filed With SEC on October 13, 2015)

AXSOME THERAPEUTICS CONSULTING AGREEMENT (Filed With SEC on October 13, 2015)

Confidential Treatment has been requested for portions of this exhibit. The copy filed herewith omits the information subject to the confidentiality request. Omissions are... (Filed With SEC on October 13, 2015)

AXSOME THERAPEUTICS, INC. 2013 Equity Compensation Plan (Filed With SEC on October 13, 2015)

AXSOME THERAPEUTICS, INC (A Delaware Corporation) WARRANT TO PURCHASE [] SHARES OF COMMON STOCK (Filed With SEC on October 13, 2015)

AXSOME THERAPEUTICS, INC (A Delaware Corporation) WARRANT TO PURCHASE SHARES OF COMMON STOCK (Filed With SEC on October 13, 2015)