Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Nov 5, 2021
- Accession no.
- 0001415889-21-005092
- Filed
- Nov 5, 2021
- Trade date
- Nov 3-5, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 18 non-derivative transactions and 3 derivative transactions. Open-market sales total $26.0M. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2021 | Common Stock | MOption exerciseAcquired | +81,765 | $184.91 | +$15,119,166.15 | 765,329 | Direct | |
| Nov 3, 2021 | Common Stock | SSaleDisposed | −6,965 | $181.79F2 | −$1,266,167.35 | 758,364 | Direct | |
| Nov 3, 2021 | Common Stock | SSaleDisposed | −15,446 | $182.61F3 | −$2,820,594.06 | 742,918 | Direct | |
| Nov 3, 2021 | Common Stock | SSaleDisposed | −9,151 | $183.65F4 | −$1,680,581.15 | 733,767 | Direct | |
| Nov 3, 2021 | Common Stock | SSaleDisposed | −8,474 | $184.58F5 | −$1,564,130.92 | 725,293 | Direct | |
| Nov 3, 2021 | Common Stock | SSaleDisposed | −10,009 | $184.58F5 | −$1,847,461.22 | 715,284 | Direct | |
| Nov 4, 2021 | Common Stock | MOption exerciseAcquired | +63,260 | $184.54 | +$11,674,000.4 | 778,544 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −7,710 | $183.50F7 | −$1,414,785 | 770,834 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −3,039 | $183.50F7 | −$557,656.5 | 767,795 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −17,819 | $184.15F8 | −$3,281,368.85 | 749,976 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −1,622 | $185.02F9 | −$300,102.44 | 748,354 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −6,840 | $186.18F10 | −$1,273,471.2 | 741,514 | Direct | |
| Nov 4, 2021 | Common Stock | SSaleDisposed | −1,520 | $187.12F11 | −$284,422.4 | 739,994 | Direct | |
| Nov 5, 2021 | Common Stock | MOption exerciseAcquired | +87,198 | $182.64 | +$15,925,842.72 | 827,192 | Direct | |
| Nov 5, 2021 | Common Stock | SSaleDisposed | −10,632 | $182.38F12 | −$1,939,064.16 | 816,560 | Direct | |
| Nov 5, 2021 | Common Stock | SSaleDisposed | −6,817 | $182.38F12 | −$1,243,284.46 | 809,743 | Direct | |
| Nov 5, 2021 | Common Stock | SSaleDisposed | −30,642 | $183.33F13 | −$5,617,597.86 | 779,101 | Direct | |
| Nov 5, 2021 | Common Stock | SSaleDisposed | −5,069 | $183.84F14 | −$931,884.96 | 774,032 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2021 | Common Stock | MOption exerciseDisposed | −81,765 | $0.00 | $0 | 3,511,395 | Direct | |
| Nov 4, 2021 | Common Stock | MOption exerciseDisposed | −63,260 | $0.00 | $0 | 3,448,135 | Direct | |
| Nov 5, 2021 | Common Stock | MOption exerciseDisposed | −87,198 | $0.00 | $0 | 3,360,937 | 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 $181.19 to $182.18. 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 $182.19 to $183.15. 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 $183.20 to $184.18. 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 $184.20 to $185.00. 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 2 transactions in Table I.
- F7
The transaction was executed in multiple trades at prices ranging from $182.88 to $183.87. 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 $183.89 to $184.83. 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.
- F9
The transaction was executed in multiple trades at prices ranging from $184.91 to $185.06. 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.
- F10
The transaction was executed in multiple trades at prices ranging from $185.96 to $186.95. 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 $186.96 to $187.31. 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 $181.78 to $182.77. 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.
- F13
The transaction was executed in multiple trades at prices ranging from $182.78 to $183.775. 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 $183.78 to $184.01. 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.