Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Oct 18, 2021
- Accession no.
- 0001415889-21-004903
- Filed
- Oct 18, 2021
- Trade date
- Oct 14-18, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 3 derivative transactions. Open-market sales total $6.30M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Smith Patrick WCIK 0001167028 | Director, Officer (CHIEF EXECUTIVE OFFICER) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 14, 2021 | Common Stock | MOption exerciseAcquired | +7,046 | $179.03 | +$1,261,445.38 | 437,562 | Direct | |
| Oct 15, 2021 | Common Stock | MOption exerciseAcquired | +6,833 | $177.94 | +$1,215,864.02 | 444,395 | Direct | |
| Oct 15, 2021 | Common Stock | SSaleDisposed | −3,330 | $180.08F2 | −$599,666.4 | 441,065 | Direct | |
| Oct 14, 2021 | Common Stock | SSaleDisposed | −860 | $180.19F4 | −$154,963.4 | 440,205 | Direct | |
| Oct 15, 2021 | Common Stock | SSaleDisposed | −832 | $180.08F2 | −$149,826.56 | 439,373 | Direct | |
| Oct 14, 2021 | Common Stock | SSaleDisposed | −3,441 | $180.19F4 | −$620,033.79 | 435,932 | Direct | |
| Oct 18, 2021 | Common Stock | MOption exerciseAcquired | +43,046 | $181.70 | +$7,821,458.2 | 478,978 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −4,203 | $180.66F5 | −$759,313.98 | 474,775 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −15,437 | $181.55F6 | −$2,802,587.35 | 459,338 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −1,410 | $182.41F7 | −$257,198.1 | 457,928 | Direct | |
| Oct 18, 2021 | Common Stock | SSaleDisposed | −5,262 | $182.41F7 | −$959,841.42 | 452,666 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 14, 2021 | Common Stock | MOption exerciseDisposed | −7,046 | $0.00 | $0 | 4,236,858 | Direct | |
| Oct 15, 2021 | Common Stock | MOption exerciseDisposed | −6,833 | $0.00 | $0 | 4,230,025 | Direct | |
| Oct 18, 2021 | Common Stock | MOption exerciseDisposed | −43,046 | $0.00 | $0 | 4,186,979 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.35. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 2 transactions in Table I.
- F4
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.57. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 2 transactions in Table I.
- F5
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.99. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F6
The transaction was executed in multiple trades at prices ranging from $181.00 to $181.98. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F7
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.81. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 2 transactions in Table I.