Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Nov 2, 2021
- Accession no.
- 0001415889-21-005044
- Filed
- Nov 2, 2021
- Trade date
- Oct 29-Nov 2, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 4 derivative transactions. Open-market sales total $17.2M. 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 29, 2021 | Common Stock | MOption exerciseAcquired | +8,052 | $179.96 | +$1,449,037.92 | 631,229 | Direct | |
| Oct 29, 2021 | Common Stock | SSaleDisposed | −985 | $180.11F2 | −$177,408.35 | 630,244 | Direct | |
| Oct 29, 2021 | Common Stock | SSaleDisposed | −3,942 | $180.11F2 | −$709,993.62 | 626,302 | Direct | |
| Nov 1, 2021 | Common Stock | MOption exerciseAcquired | +85,234 | $180.67 | +$15,399,226.78 | 711,536 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −10,423 | $180.47F4 | −$1,881,038.81 | 701,113 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −26,652 | $180.47F4 | −$4,809,886.44 | 674,461 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −10,008 | $181.45F5 | −$1,815,951.6 | 664,453 | Direct | |
| Nov 1, 2021 | Common Stock | SSaleDisposed | −5,034 | $182.25F6 | −$917,446.5 | 659,419 | Direct | |
| Nov 2, 2021 | Common Stock | MOption exerciseAcquired | +62,349 | $181.60 | +$11,322,578.4 | 721,768 | Direct | |
| Nov 2, 2021 | Common Stock | SSaleDisposed | −7,641 | $180.37F4 | −$1,378,207.17 | 714,127 | Direct | |
| Nov 2, 2021 | Common Stock | SSaleDisposed | −13,324 | $180.37F4 | −$2,403,249.88 | 700,803 | Direct | |
| Nov 2, 2021 | Common Stock | SSaleDisposed | −17,239 | $181.41F7 | −$3,127,326.99 | 683,564 | 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 29, 2021 | Common Stock | MOption exerciseDisposed | −8,052 | $0.00 | $0 | 3,740,743 | Direct | |
| Nov 1, 2021 | Common Stock | MOption exerciseDisposed | −27,327 | $0.00 | $0 | 3,713,416 | Direct | |
| Nov 1, 2021 | Common Stock | MOption exerciseDisposed | −57,907 | $0.00 | $0 | 3,655,509 | Direct | |
| Nov 2, 2021 | Common Stock | MOption exerciseDisposed | −62,349 | $0.00 | $0 | 3,593,160 | 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 $180.50. 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 $180.99. 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 4 transactions in Table I.
- F5
The transaction was executed in multiple trades at prices ranging from $181.00 to $181.94. 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.
- F6
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.69. 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 $181.00 to $181.88. 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.