Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Oct 21, 2021
- Accession no.
- 0001415889-21-004938
- Filed
- Oct 21, 2021
- Trade date
- Oct 19-21, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 24 non-derivative transactions and 3 derivative transactions. Open-market sales total $25.4M. It was filed 2 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 19, 2021 | Common Stock | MOption exerciseAcquired | +82,110 | $185.27 | +$15,212,519.7 | 534,776 | Direct | |
| Oct 19, 2021 | Common Stock | SSaleDisposed | −2,700 | $181.46F2 | −$489,942 | 532,076 | Direct | |
| Oct 19, 2021 | Common Stock | SSaleDisposed | −3,121 | $182.45F3 | −$569,426.45 | 528,955 | Direct | |
| Oct 19, 2021 | Common Stock | SSaleDisposed | −6,946 | $183.66F4 | −$1,275,702.36 | 522,009 | Direct | |
| Oct 19, 2021 | Common Stock | SSaleDisposed | −20,619 | $184.64F5 | −$3,807,092.16 | 501,390 | Direct | |
| Oct 19, 2021 | Common Stock | SSaleDisposed | −6,716 | $185.35F6 | −$1,244,810.6 | 494,674 | Direct | |
| Oct 19, 2021 | Common Stock | SSaleDisposed | −10,026 | $185.35F6 | −$1,858,319.1 | 484,648 | Direct | |
| Oct 20, 2021 | Common Stock | MOption exerciseAcquired | +35,604 | $179.05 | +$6,374,896.2 | 520,252 | Direct | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −4,311 | $180.20F8 | −$776,842.2 | 515,941 | Direct | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −1,689 | $180.20F8 | −$304,357.8 | 514,252 | Direct | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −2,000 | $181.30F9 | −$362,600 | 512,252 | Direct | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −1,515 | $182.41F10 | −$276,351.15 | 510,737 | Direct | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −5,962 | $183.62F11 | −$1,094,742.44 | 504,775 | Direct | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −4,176 | $184.38F12 | −$769,970.88 | 500,599 | Direct | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −1,600 | $185.81F13 | −$297,296 | 498,999 | Direct | |
| Oct 20, 2021 | Common Stock | SSaleDisposed | −300 | $186.91F14 | −$56,073 | 498,699 | Direct | |
| Oct 21, 2021 | Common Stock | MOption exerciseAcquired | +109,080 | $184.60 | +$20,136,168 | 607,779 | Direct | |
| Oct 21, 2021 | Common Stock | SSaleDisposed | −13,399 | $180.40F15 | −$2,417,179.6 | 594,380 | Direct | |
| Oct 21, 2021 | Common Stock | SSaleDisposed | −13,239 | $180.40F15 | −$2,388,315.6 | 581,141 | Direct | |
| Oct 21, 2021 | Common Stock | SSaleDisposed | −3,152 | $181.68F16 | −$572,655.36 | 577,989 | Direct | |
| Oct 21, 2021 | Common Stock | SSaleDisposed | −16,236 | $182.34F17 | −$2,960,472.24 | 561,753 | Direct | |
| Oct 21, 2021 | Common Stock | SSaleDisposed | −8,031 | $183.75F18 | −$1,475,696.25 | 553,722 | Direct | |
| Oct 21, 2021 | Common Stock | SSaleDisposed | −12,367 | $184.63F19 | −$2,283,319.21 | 541,355 | Direct | |
| Oct 21, 2021 | Common Stock | SSaleDisposed | −571 | $185.20F20 | −$105,749.2 | 540,784 | 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 19, 2021 | Common Stock | MOption exerciseDisposed | −82,110 | $0.00 | $0 | 4,104,869 | Direct | |
| Oct 20, 2021 | Common Stock | MOption exerciseDisposed | −35,604 | $0.00 | $0 | 4,069,265 | Direct | |
| Oct 21, 2021 | Common Stock | MOption exerciseDisposed | −109,080 | $0.00 | $0 | 3,960,185 | 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 $180.87 to $181.73. 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.
- F3
The transaction was executed in multiple trades at prices ranging from $182.09 to $183.06. 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.
- F4
The transaction was executed in multiple trades at prices ranging from $183.14 to $184.13. 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.
- F5
The transaction was executed in multiple trades at prices ranging from $184.14 to $185.13. 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 $185.14 to $185.64. 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.
- F8
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.58. 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.
- F9
The transaction was executed in multiple trades at prices ranging from $181.04 to $182.01. 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.
- F10
The transaction was executed in multiple trades at prices ranging from $182.05 to $183.01. 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.
- F11
The transaction was executed in multiple trades at prices ranging from $183.09 to $184.08. 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.
- F12
The transaction was executed in multiple trades at prices ranging from $184.09 to $184.89. 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.
- F13
The transaction was executed in multiple trades at prices ranging from $185.51 to $186.49. 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.
- F14
The transaction was executed in multiple trades at prices ranging from $186.51 to $187.12. 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.
- F15
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.96. 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.
- F16
The transaction was executed in multiple trades at prices ranging from $181.01 to $182.00. 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.
- F17
The transaction was executed in multiple trades at prices ranging from $182.01 to $182.83. 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.
- F18
The transaction was executed in multiple trades at prices ranging from $183.02 to $184.00. 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.
- F19
The transaction was executed in multiple trades at prices ranging from $184.025 to $185.02. 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.
- F20
The transaction was executed in multiple trades at prices ranging from $185.10 to $185.33. 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.