Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Oct 26, 2021
- Accession no.
- 0001415889-21-004978
- Filed
- Oct 26, 2021
- Trade date
- Oct 22-26, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 21 non-derivative transactions and 3 derivative transactions. Open-market sales total $23.4M. 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 22, 2021 | Common Stock | MOption exerciseAcquired | +62,716 | $182.65 | +$11,455,077.4 | 603,500 | Direct | |
| Oct 22, 2021 | Common Stock | SSaleDisposed | −7,680 | $180.48F2 | −$1,386,086.4 | 595,820 | Direct | |
| Oct 22, 2021 | Common Stock | SSaleDisposed | −337 | $180.48F2 | −$60,821.76 | 595,483 | Direct | |
| Oct 22, 2021 | Common Stock | SSaleDisposed | −15,326 | $181.38F4 | −$2,779,829.88 | 580,157 | Direct | |
| Oct 22, 2021 | Common Stock | SSaleDisposed | −11,830 | $182.43F5 | −$2,158,146.9 | 568,327 | Direct | |
| Oct 22, 2021 | Common Stock | SSaleDisposed | −1,159 | $183.18F6 | −$212,305.62 | 567,168 | Direct | |
| Oct 22, 2021 | Common Stock | SSaleDisposed | −1,140 | $184.58F7 | −$210,421.2 | 566,028 | Direct | |
| Oct 22, 2021 | Common Stock | SSaleDisposed | −929 | $185.31F8 | −$172,152.99 | 565,099 | Direct | |
| Oct 25, 2021 | Common Stock | MOption exerciseAcquired | +71,420 | $179.80 | +$12,841,316 | 636,519 | Direct | |
| Oct 25, 2021 | Common Stock | SSaleDisposed | −8,695 | $180.60F2 | −$1,570,317 | 627,824 | Direct | |
| Oct 25, 2021 | Common Stock | SSaleDisposed | −8,243 | $180.60F2 | −$1,488,685.8 | 619,581 | Direct | |
| Oct 25, 2021 | Common Stock | SSaleDisposed | −10,343 | $181.27F9 | −$1,874,875.61 | 609,238 | Direct | |
| Oct 25, 2021 | Common Stock | SSaleDisposed | −11,074 | $182.58F10 | −$2,021,890.92 | 598,164 | Direct | |
| Oct 25, 2021 | Common Stock | SSaleDisposed | −4,921 | $183.15F11 | −$901,281.15 | 593,243 | Direct | |
| Oct 25, 2021 | Common Stock | SSaleDisposed | −200 | $184.67 | −$36,934 | 593,043 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseAcquired | +77,254 | $180.20 | +$13,921,170.8 | 670,297 | Direct | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −9,424 | $180.31F2 | −$1,699,241.44 | 660,873 | Direct | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −14,966 | $180.31F2 | −$2,698,519.46 | 645,907 | Direct | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −6,368 | $181.30F12 | −$1,154,518.4 | 639,539 | Direct | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −14,862 | $182.61F13 | −$2,713,949.82 | 624,677 | Direct | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −1,500 | $183.18F14 | −$274,770 | 623,177 | 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 22, 2021 | Common Stock | MOption exerciseDisposed | −62,716 | $0.00 | $0 | 3,897,469 | Direct | |
| Oct 25, 2021 | Common Stock | MOption exerciseDisposed | −71,420 | $0.00 | $0 | 3,826,049 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseDisposed | −77,254 | $0.00 | $0 | 3,748,795 | 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 $180.99. 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 6 transactions in Table I.
- F4
The transaction was executed in multiple trades at prices ranging from $181.00 to $181.99. 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.
- F5
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.92. 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 $183.01 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.
- F7
The transaction was executed in multiple trades at prices ranging from $184.11 to $185.05. 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.
- F8
The transaction was executed in multiple trades at prices ranging from $185.13 to $185.94. 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.
- F9
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.
- F10
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.99. 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.
- F11
The transaction was executed in multiple trades at prices ranging from $183.00 to $183.83. 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.
- F12
The transaction was executed in multiple trades at prices ranging from $181.00 to $181.91. 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 $182.00 to $182.96 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 1 transaction in Table I.
- F14
The transaction was executed in multiple trades at prices ranging from $183.00 to $183.29. 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.