Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Nov 10, 2021
- Accession no.
- 0001415889-21-005128
- Filed
- Nov 10, 2021
- Trade date
- Nov 8-9, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 2 derivative transactions. Open-market sales total $400.2K. 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 8, 2021 | Common Stock | MOption exerciseAcquired | +3,326 | $176.65 | +$587,537.9 | 777,358 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −403 | $180.20F2 | −$72,620.6 | 776,955 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −1,013 | $180.20F2 | −$182,542.6 | 775,942 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −400 | $181.46F4 | −$72,584 | 775,542 | Direct | |
| Nov 8, 2021 | Common Stock | SSaleDisposed | −200 | $182.11F5 | −$36,422 | 775,342 | Direct | |
| Nov 9, 2021 | Common Stock | MOption exerciseAcquired | +330 | $176.40 | +$58,212 | 775,672 | Direct | |
| Nov 9, 2021 | Common Stock | SSaleDisposed | −40 | $180.04F6 | −$7,201.6 | 775,632 | Direct | |
| Nov 9, 2021 | Common Stock | SSaleDisposed | −160 | $180.04F6 | −$28,806.4 | 775,472 | 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 8, 2021 | Common Stock | MOption exerciseDisposed | −3,326 | $0.00 | $0 | 3,357,611 | Direct | |
| Nov 9, 2021 | Common Stock | MOption exerciseDisposed | −330 | $0.00 | $0 | 3,357,281 | 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 $180.24. 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 $181.07 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.
- F5
The transaction was executed in multiple trades at prices ranging from $182.10 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.
- F6
The transaction was executed in multiple trades at prices ranging from $180.02 to $180.06. 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 2 transactions in Table I.