(Effective: December 23, 2022)

User and Registration Information: You can visit the Sites and use certain Services without registering for an account with us. However, in certain circumstances (e.g., to create an account with us and/or use certain Services), you must provide us with certain personal information, such as the following:

In this Privacy Policy (“Policy”), we describe how Axsome Therapeutics, Inc. and our affiliates and subsidiaries (“Axsome,” the “Company,” “we,” or “us”) collect, use, disclose, and otherwise process the personal information that we obtain about our users of our mobile applications and websites (collectively, the “Services”), and the services available through our Sites (together with Sites, the “Services”). Your use of our Services, and any dispute over privacy, is subject to this Policy and our Terms of Use, including its applicable limitations on damages and the resolution of disputes. Our Terms of Use are incorporated by reference into this Policy.

For information about the privacy choices you have regarding your personal information, review the section “Your Privacy Choices” below, as well as the section “Additional Information for Certain Jurisdictions” which includes for additional about privacy rights for residents of certain states. If you are a resident of California, please also refer to the section “Additional Privacy Information for California Residents” below for information about the categories of personal information we collect and your rights under California privacy laws.

Not Covered by this Policy. This Policy does not apply to job applicants and candidates who apply for employment with us, or to employees and non-employee workers in the context of our working relationship with them. This Policy also does not apply to any third-party websites, services, products or mobile applications maintained by other companies, which are linked to from our Services.

OUR SITES AND SERVICES ARE FOR INFORMATIONAL AND/OR EDUCATIONAL PURPOSES ONLY. BY INTERACTING WITH OUR SITES AND SERVICES, YOU UNDERSTAND THAT AXSOME DOES NOT PROVIDE LEGAL, FINANCIAL AND/OR MEDICAL ADVICE. YOU SHOULD NOT RELY UPON THE CONTENT OF OUR SITES AND SERVICES AS PROFESSIONAL ADVICE. OUR SITE AND SERVICES MAY INCLUDE CONTENT RELATED TO DISEASES AND THEIR TREATMENT. THIS CONTENT IS NOT INTENDED AS A SUBSTITUTE OR A REPLACEMENT FOR MEDICAL ADVICE FROM A TRAINED HEALTHCARE PROFESSIONAL. IF YOU ARE LIVING WITH OR SUSPECT THAT YOU MAY HAVE A HEALTH PROBLEM OR DISEASE MENTIONED ON THIS SITE, YOU SHOULD ASK YOUR DOCTOR OR OTHER QUALIFIED HEALTHCARE PROVIDER. GET HELP IMMEDIATELY IF YOU'RE HAVING THOUGHTS OF SUICIDE BY CALLING 911, GETTING IN TOUCH WITH YOUR HEALTHCARE PROFESSIONAL OR CALLING THE NATIONAL SUICIDE PREVENTION LIFELINE AT 1-800-273-TALK (8255) - IT'S AVAILABLE 24 HOURS A DAY, 7 DAYS A WEEK AND ALL CALLS ARE CONFIDENTIAL.

THE INFORMATION WE COLLECT ABOUT YOU: We and our service providers collect information about you directly from you, from third parties, and automatically through your use of our Services or other interactions with us. The type of information that we collect from you depends on your particular interaction with our Services or Sites, but generally includes the below information.

• Name
• Email address
• Password
• Login credentials for third-party identity providers (e.g., Google, Apple)

Additional information you may choose to share with us, may also be collected and stored by us.

Third-party platforms: If you post information about us or engage with us on third-party platforms or choose to link your account to or log in to our Services with a third-party account (e.g., Google), we may collect personal information about you from that third-party platform or account. These third-party platforms and services control the information they collect and share about you. For information about how they may use and disclose your information, including any information you make public, please consult their respective privacy policies.

Communications and Customer Service: We maintain records related to customer support and customer service related requests, including the nature of the request, name and contact information of the requestor, and information related to the resolution of the request.

Updates: You can sign up to receive our updates, and other information we think may interest you by providing your email address.

Usage Data: We automatically collect information such as the following about your use of our Services through cookies, web beacons, log files and other methods: browser type, device type, domain name, the website that led you to our Services, the website to which you go after leaving our Services, the dates and times you access our Services and perform certain activities; device name and model; operating system type, name, and version; the length of time that you are using our Services, and the links you click and your other activities within the Services (“Usage Data”). We may combine Usage Data with other information that we have collected about you, including your personal information. We may combine Usage Data with other information that we have collected about you. Please see the section “Our Use of Cookies, Targeting, Third-Party Analytics” below for more information.

Location information: We may collect or derive location information about you, such as through your IP address. Further, with your permission, we may collect geolocation information from your device. You may turn off location data sharing through your device settings.

HOW WE USE YOUR INFORMATION: We may use your information, including your personal information, for the following purposes:

• To provide and maintain our Site and Services to you, to improve our Site and Services, and to perform technical operations, such as updating software.
• To communicate with you about your use of our Services, to fulfill your requests, to respond to your inquiries, and for other customer service and marketing purposes.
• To better understand how users access and use our Services on an aggregated basis. For example, we will evaluate which features of our Services are more (or least) used by users, and we will use this information to update or add new features to our Services, as well as to develop new offerings.
• For research and analytics purposes. For example, to evaluate and improve our services and business operations, and for internal quality control and training purposes.
• For market research and clinical research purposes.
• To comply with legal obligations and act in accordance with legal authorizations, as part of our general business operations, and for other business administration purposes, including to comply with our legal and regulatory requirements, authenticate your identity, maintain customer records, monitor your compliance with your agreements with us, collect debts owed to us, safeguard our business interests, and manage or transfer our assets or liabilities, for example in the case of an acquisition, disposition, or merger, as described below.
• Where we believe necessary to investigate, prevent, or take action regarding illegal activities, suspected fraud, situations involving potential threats to the safety of any person, or violations of our Terms and Conditions or this Privacy Policy.

HOW WE SHARE YOUR INFORMATION: We may share your information, including personal information, as follows:

Vendors and Service Providers: We may disclose personal information to service providers, contractors, or agents who perform functions on our behalf. Service providers may also collect information, including personal information, on our behalf.

Affiliates: We may disclose the information we collect from you to our affiliates or subsidiaries; however, if we do so, their use and disclosure of your personal information will be subject to this Policy.

Third-party platforms, providers and networks: We may disclose or make available personal information to third-party platforms and providers that we use to provide or make available certain features or portions of the Services, or as necessary to respond to your requests. For instance, if you log in to the Services using your Google or Apple account, we will share your credentials with those sites for purposes of verifying your identity. We may also make certain information that includes personal information available to third parties in support of our marketing, analytics, advertising and campaign management (see the section “Our Use of Cookies, Targeting, and Third-Party Analytics” below for more information).

We also disclose information in the following circumstances:

Business Transfers: If (i) we or our affiliates are or may be acquired by, merged with, or invested in by another company, or (ii) if any of our assets are or may be transferred to another company, whether as part of a bankruptcy or insolvency proceeding or otherwise, we may transfer the information we have collected from you to the other company. As part of the business transfer process, we may share certain of your personal information with lenders, auditors, and third-party advisors, including attorneys and consultants.

In Response to Legal Process: We disclose your information to comply with the law, a judicial proceeding, court order, or other legal process, such as in response to a court order or a subpoena.

To Regulatory Agencies, for Research, or for Claims About Our Products: We may use and disclose your information in de-identified and aggregated format for research purposes, marketing claims about our Services or any of our products, or with respect to any response or submission to any federal, state or international regulatory agency or body for any purpose, including new approvals or clearances, safety and efficacy, or justification for claims we make.

To Protect Us and Others: We disclose your information when we believe it is appropriate to do so to investigate, prevent, or take action regarding illegal activities, suspected fraud, situations involving potential threats to the safety of any person, violations of our Terms of Service or this Policy, or as evidence in litigation in which we are involved. We may also disclose information, including personal information, for our internal accounting, auditing, compliance, recordkeeping, and legal functions.

Aggregate and Non-Identifiable Information: Notwithstanding anything else in this Policy, we may collect, use, share, disclose, and otherwise process aggregate, anonymous, and in some cases de-identified information related to our business and the Services for research, marketing, analytics and other purposes. Where we use, disclose or process de-identified data we will maintain and use this information in de-identified form and not to attempt to reidentify the information, except in accordance with applicable privacy laws.

OUR USE OF COOKIES, TARGETING AND THIRD-PARTY ANALYTICS: We and our third-party service providers use cookies, pixels, java script, and other tracking mechanisms to track information about your use of our Site and Services. We may combine this information with other personal information we collect from you (and our third-party service providers may do so on our behalf).

Cookies: Cookies are alphanumeric identifiers that we transfer to your device's hard drive through your web browser for record-keeping purposes. Some cookies allow us to make it easier for you to navigate our Services, while others are used to enable a faster log-in process, support the security and performance of the Services, or allow us to track activity and usage data within Service.

Pixel tags: Pixel tags (sometime called web beacons or clear GIFs) are tiny graphics with a unique identifier, similar in function to cookies. While cookies are stored locally on your device, pixel tags are embedded invisibly within web pages and online content. We may use these, in connection with our Services to, among other things, track the activities of users, help us manage content and compile usage statistics. We may also use these in HTML e-mails we send, to help us track e-mail response rates, identify when our e-mails are viewed, and track whether our e-mails are forwarded.

Local storage objects: Local storage is a web storage mechanism that allows us to store data on a browser that persists even after the browser window is closed. Local storage may be used by our web servers to cache certain information in order enable faster loading of pages and content when you return to our websites. You can clear data stored in local storage through your browser. Please consult your browser help menu for more information.

Third-Party Analytics and Tools: We use third-party tools, such as Google Analytics, which are operated by third-party companies, to evaluate usage of our Services. These third-party analytics companies may collect usage data (using cookies, pixels and similar tools) about our Services in order to provide us with reports and metrics that help us improve the performance and user experiences of our Services, as well as to develop new offerings. To learn more about Google's privacy practices, please review the Google Privacy Policy at https://www.google.com/policies/privacy/ . You can also download the Google Analytics Opt-out Browser Add-on to prevent their data from being used by Google Analytics at https://tools.google.com/dlpage/gaoptout.

Targeted Advertising: We work with third parties, such as ad networks, channel partners, mobile ad networks, analytics and measurement services and others (“third-party ad companies”) to personalize content and display advertising within our Services, as well as to manage our advertising on third-party sites, mobile apps and online services. We may share certain information with these third-party ad companies, and we and them may use cookies, pixels tags, and other tools to collect usage and browsing information within our Services, as well as on third-party sites, apps and services, such as IP address, device ID, cookie and advertising IDs, and other identifiers, as well as browsing information. We and these third-party ad companies use this information to provide you more relevant ads and content within our Services and on third-party sites and apps, and to evaluate the success of such ads and content.

Do-Not-Track: Our systems do not recognize browser “do-not-track” requests. You may, however, disable certain tracking as discussed in this section (e.g., by disabling cookies).

Managing Your Preferences: We make available multiple ways for you to manage your preferences regarding targeted advertising and cookies within our Services. Many of these are browser and device specific, which means that you need to set the preference for each browser and device you use to access our Services; in addition, if you delete or block cookies, you may need to reapply these preferences. Further, opting out of cookies and advertising as discussed below does not mean that you will no longer receive advertising content from us. You may continue to receive generic or “contextual” ads from us.

• Browser signals: If our website detects that your browser is transmitting a “global privacy control”—or GPC— signal, we will apply that to opt that browser on your device out of targeting cookies on our Site. If you come to our Site from a different device or from a different browser on the same device, you will need to apply GPC for that browser and/or device as well.

• Industry ad choice programs: You can also control how participating third-party ad companies use the information that they collect about your visits to our websites and use of our mobile applications, and those of third parties, in order to display more relevant targeted advertising to you. If you are in the U.S., you can obtain more information and opt out of receiving targeted ads from participating third-party ad networks at aboutads.info/choices (Digital Advertising Alliance). You may also download the DAA AppChoices (https://youradchoices.com/appchoices) tool in order to help control interest-based advertising on apps on your mobile device.

  Please note that opting out of participating ad networks does not opt you out of being served advertising. You may continue to receive generic or 'contextual' ads on our Services. You may also continue to receive targeted ads on other websites, from companies that do not participate in the above programs.

• Browser settings: If you wish to prevent cookies from tracking your activity on our Site or visits across multiple websites, you can set your browser to block certain cookies or notify you when a cookie is set; you can also delete cookies. The Help portion of the toolbar on most browsers will tell you how to prevent your device from accepting new cookies, how to have the browser notify you when you receive a new cookie, or how to delete cookies. Visitors to our Services who disable cookies will be able to browse the Site, but some features may not function.

YOUR PRIVACY CHOICES: We make available a number of ways that you can manage your privacy choices and submit privacy requests related to your personal information. These include:

Targeted advertising/cookie preferences: As described in the section “Cookies, Targeting and Third-Party Analytics” there are multiple ways that you can manage your preferences for targeting cookies and advertising by us and on our Site.

Marketing communications: We may send periodic promotional emails to you. You may opt out of such communications by following the opt-out instructions contained in the email or emailing us at info@axsome.com. Please note that it may take up to ten (10) business days for us to process opt out requests. If you opt out of receiving promotional emails about recommendations or other information we think may interest you, we may still send you emails about your account or any Services you have requested or received from us.

We retain certain information about you as required by law or as permitted by law for business purposes. For example, if you request that we delete your information, but we believe that you have violated Terms of Use, we may retain information about you in order to attempt to resolve the issue before deleting it.

SECURITY OF YOUR INFORMATION: We have implemented reasonable precautions to protect the information we collect from loss, misuse, and unauthorized access, disclosure, alteration, and destruction. Please keep in mind that no security measures are perfect or impenetrable. You should take steps to protect against unauthorized access to your password, phone, and computer by, among other things, signing off after using a shared device.

CHILDREN: Our Site and Services are not designed for children under 18, and we do not intentionally collect information on our Site and Services from those we actually know are under 18. If we discover that a child under 18 has provided us with personal information, we will delete such information from our systems.

CONTACT US: If you have questions about the privacy aspects of our Services or would like to make a complaint, please contact us by email at info@axsome.com.

CHANGES TO THIS POLICY: This Policy is current as of the Effective Date set forth above. We may change this Policy from time to time, so please be sure to check back periodically. We will post any changes to this Policy on our Services. If we make any changes to this Policy that materially affect our practices with regard to the personal information we have previously collected from you, we will endeavor to provide you with notice in advance of such change by highlighting the change on our Services.

ADDITIONAL INFORMATION FOR CERTAIN JURISDICTIONS

U.S. RESIDENTS: Residents of certain states have additional privacy rights under applicable state privacy laws as describe below. The sections below include additional privacy information for California residents and other state residents.

ADDITIONAL PRIVACY INFORMATION FOR CALIFORNIA RESIDENTS: In this section, we provide additional information to California residents about how we handle their personal information, as required under the California Consumer Privacy Act (“CCPA”) and the California Privacy Rights Act (“CPRA”) (collectively, the “California privacy laws”). This section does not address or apply to our handling of publicly available information lawfully made available by state or federal government records or other personal information that is exempt under the California privacy laws.

Categories of Personal Information Collected and Disclosed: While our processing of personal information varies based upon our relationship and interactions with you, in this section we describe, generally, how we have collected, used, shared and disclosed personal information (as defined by California privacy laws) about California residents, as well as the categories of third parties to whom we may disclose this information for a business or commercial purpose.

Sources of Personal Information: As further described in the “The Information We Collect About You” section above, we may collect personal information from the following sources:

• Directly from the individual
• Data analytics providers
• Social networks
• Operating systems and third-party platforms

Purposes for Collecting and Disclosing: As described in more detail in the “How We Use Your Information” section above, in general, we collect and otherwise process the above personal information for the following business or commercial purposes:

• Services and support
• Analytics and improvement
• Marketing and advertising
• Research and surveys
• Security and protection of rights
• Legal proceedings and obligations
• General business and operational support

As described in more detail in “How We Share Your Information” section above, generally, we disclose the personal information we collect in order to provide our Services to you, respond to and fulfill your orders and requests, as otherwise directed or consented to by you, and for the purposes otherwise described in this Policy, and as follows:

• To our vendors and service providers who perform services for us
• To our affiliates
• To third party platforms, providers and networks that we work with
• In support of business transfers
• To comply with legal obligations
• To secure and protect rights

Retention: We retain the personal information we collect only as reasonably necessary for the purposes described above or otherwise disclosed to you at the time of collection. To the extent permitted by applicable law, we will retain and use your personal information as necessary to comply with our legal obligations, resolve disputes, maintain appropriate business records, and enforce our agreements.

Sales and Sharing of Personal Information: California privacy laws define a “sale” as disclosing or making available personal information to a third party, in exchange for monetary or other valuable consideration. “Sharing” broadly includes disclosing or making available personal information to a third party for purposes of cross-context behavioral advertising. While we do not disclose personal information to third parties in exchange for monetary compensation, we may “sell” or “share” (as defined by the CCPA) Identifiers, Customer Records, Commercial Information, and Usage Data with third-party advertising networks, analytics providers, social networks, and our affiliates. We do not sell or share sensitive personal information, nor do we sell or share any personal information about individuals who we know are under eighteen (18) years old.

Sensitive Personal Information: We collect and use certain sensitive personal information which may vary depending on the circumstances. We may collect the categories of sensitive personal information, indicated in the chart above (see the “Categories of Personal Information Collected”).

We may use or disclose these categories of sensitive personal information for the following purposes (collectively, “Permitted Purposes”):

• To perform the services or provide the goods as reasonably expected by users;
• To detect security incidents that compromise the availability, authenticity, integrity, and confidentiality of stored or transmitted sensitive personal information;
• To resist malicious, deceptive, fraudulent, or illegal actions directed at Company and to prosecute those responsible for those actions;
• To ensure the physical safety of natural persons;
• For short-term, transient uses;
• To perform services on behalf of Company, such as maintaining our user accounts, verifying user information, and providing support to users; and
• With respect to a service that is owned, manufactured, manufactured for, or controlled by Company, to verify or maintain the quality or safety, improve, upgrade, or enhance the service or device.

We do not sell or share sensitive personal information with third parties.

California Resident Rights: In general, California residents have the following rights with respect to their personal information:

• Do-not-sell and share (opt-out): to opt-out of our sale or sharing of their personal information. We do not sell or share personal information we collect about users of Services, including about California consumers who we know are younger than 18 years old.
• Right to limit use of sensitive personal information: the right to limit the use or disclosure of sensitive personal information to require we limit our use or disclosure of sensitive personal information to the Permitted Purposes as described in this Policy. We do not use or disclose sensitive personal information beyond these Permitted Purposes.
• Right of deletion: to request deletion of their personal information that we have collected about them and to have such personal information deleted (without charge), subject to certain exceptions.
• Right to know: with respect to the personal information we have collected about them, to know what personal information we have collected about them, including the categories of personal information, the categories of sources from which the personal information is collected, the business or commercial purpose for collecting, selling, or sharing personal information, the categories of third parties to whom we disclose personal information, and the specific pieces of personal information we have collected about them, to require that we disclose the following to them (up to twice per year and subject to certain exemptions):
  • categories of personal information collected;
  • categories of sources of personal information;
  • categories of personal information about them we have disclosed for a business purpose;
  • categories of third parties to whom we have disclosed for a business purpose their personal information;
  • the business or commercial purposes for collecting personal information; and
  • a copy of the specific pieces of personal information we have collected about them.
• Do-not-sell and share (opt-out): to opt-out of our sale or sharing of their personal information. We do not sell or share personal information we collect about users of Services, including about California consumers who we know are younger than 16 years old.
• Right to correct: the right to request that a business that maintains inaccurate personal information about the resident correct that personal information.
• Right to non-discrimination: the right not to be subject to discriminatory treatment for exercising their rights under the CCPA.
• Financial incentives: California residents have the right to be notified of any financial incentives offers and their material terms, the right to opt-out of such incentives at any time and may not be included in such incentives without their prior informed opt-in consent. Where we offer any financial incentives under the California privacy laws, we will notify you in advance of the material terms of such incentives and your related rights, before we obtain your consent to such incentives.

Submitting Requests: California residents may exercise their privacy rights as set forth below.

• Request to know/access, correct, and delete: California residents may submit consumer requests to access/know, correct and delete their personal information maintained by us online by submitting a request to info@axsome.com. Alternatively, California residents may submit a request by calling us at 212-332-3241.

  When you submit a request to know, correct, or delete, we will take steps to verify your request by matching the information provided by you with the information we have in our records. You must provide certain information (such as your name, email address, and date you downloaded the app) to verify your request. In some cases, we may request additional information in order to verify your request or where necessary to process your request. If we are unable to adequately verify a request, we will notify the requestor.

  Authorized agents may initiate a request on behalf of another individual by contacting us via the methods listed above. Authorized agents will be required to provide proof of their authorization, and we may also require that the relevant consumer directly verify their identity and the authority of the authorized agent. There may be circumstances where we will not be able to honor your request. For example, if you request deletion, we may need to retain certain personal information to comply with our legal obligations or other permitted purposes.
• Requests to Opt Out: California residents may exercise their right to opt out online by submitting an opt out request here. We will apply your opt out based upon the personal information in our records that is linked or reasonably linkable to the information provided in your request. In addition, our website responds to global privacy control—or “GPC”—signals, which means that if we detect that your browser is communicating a GPC signal, we will process that as a request to opt that particular browser and device out of sales and sharing (i.e., via cookies and tracking tools) on our website. Note that if you come back to our website from a different device or use a different browser on the same device, you will need to opt out (or set GPC for) that browser and device as well. More information about GPC is available at: https://globalprivacycontrol.org/ .

For more information about our privacy practices, you may contact us as set forth in the “Contact Us” section above.

ADDITIONAL PRIVACY INFORMATION FOR OTHER STATE RESIDENTS: Residents of certain U.S. states may have additional privacy rights under applicable privacy laws, including:

• Right to correction: to correct inaccurate personal information.
• Right to deletion: to delete personal information provided to or obtained by us.
• Right of access: to confirm whether we are processing personal information and to obtain a copy of personal information in a portable and, to the extent technically feasible, readily usable format.
• Rights to opt out: to opt out of certain types of processing, including:
  • to opt out of the “sale” of personal information by us.
  • to opt out of the use and disclosure of personal information for the purposes of cross-contextual behavioral advertising.
  • to opt out of any processing of personal information for purposes of making decisions that produce legal or similarly significant effects.
  • to opt out of certain uses and disclosures of sensitive personal information by us.

If our Site detects that your browser is transmitting a “global privacy control” (GPC) or "universal opt-out mechanism" signal, we will apply that to opt that browser on your device out of targeting cookies on our Site. If you come to our Site from a different device or from a different browser on the same device, you will need to apply GPC for that browser and/or device as well. Sites do not recognize or respond to browser “do not track” signals.

You may submit a request to exercise your privacy rights to us as set forth above in “Your Privacy Choices”. We will respond to your request as required under the applicable privacy law(s). If we deny your request, you may appeal our decision by emailing info@axsome.com.