Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Nov 19, 2021
- Accession no.
- 0001415889-21-005330
- Filed
- Nov 19, 2021
- Trade date
- Nov 17-19, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 12 non-derivative transactions and 5 derivative transactions. Open-market sales total $24.9M. 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 17, 2021 | Common Stock | MOption exerciseAcquired | +167 | $172.89 | +$28,872.63 | 2,066,072 | Direct | |
| Nov 17, 2021 | Common Stock | SSaleDisposed | −20 | $180.00 | −$3,600 | 2,066,052 | Direct | |
| Nov 17, 2021 | Common Stock | SSaleDisposed | −80 | $180.00 | −$14,400 | 2,065,972 | Direct | |
| Nov 18, 2021 | Common Stock | MOption exerciseAcquired | +11,982 | $174.43 | +$2,090,020.26 | 2,077,954 | Direct | |
| Nov 18, 2021 | Common Stock | SSaleDisposed | −1,447 | $180.16F3 | −$260,691.52 | 2,076,507 | Direct | |
| Nov 18, 2021 | Common Stock | SSaleDisposed | −5,790 | $180.16F3 | −$1,043,126.4 | 2,070,717 | Direct | |
| Nov 19, 2021 | Common Stock | MOption exerciseAcquired | +212,491 | $181.94 | +$38,660,612.54 | 2,283,208 | Direct | |
| Nov 19, 2021 | Common Stock | SSaleDisposed | −23,879 | $180.51F4 | −$4,310,398.29 | 2,259,329 | Direct | |
| Nov 19, 2021 | Common Stock | SSaleDisposed | −2,107 | $181.59F5 | −$382,610.13 | 2,257,222 | Direct | |
| Nov 19, 2021 | Common Stock | SSaleDisposed | −57,210 | $181.59F5 | −$10,388,763.9 | 2,200,012 | Direct | |
| Nov 19, 2021 | Common Stock | SSaleDisposed | −43,354 | $182.38F6 | −$7,906,902.52 | 2,156,658 | Direct | |
| Nov 19, 2021 | Common Stock | SSaleDisposed | −3,380 | $183.11F7 | −$618,911.8 | 2,153,278 | 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 17, 2021 | Common Stock | MOption exerciseDisposed | −167 | $0.00 | $0 | 682,032 | Direct | |
| Nov 17, 2021 | Common Stock | AGrant or awardAcquired | +530,488 | $0.00 | $0 | 1,212,520 | Direct | |
| Nov 17, 2021 | Common Stock | AGrant or awardAcquired | +530,488 | $0.00 | $0 | 1,743,008 | Direct | |
| Nov 18, 2021 | Common Stock | MOption exerciseDisposed | −11,982 | $0.00 | $0 | 1,731,026 | Direct | |
| Nov 19, 2021 | Common Stock | MOption exerciseDisposed | −212,491 | $0.00 | $0 | 1,518,535 | 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.
- F3
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 $180.97. 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 $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 2 transactions in Table I.
- F6
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.
- F7
The transaction was executed in multiple trades at prices ranging from $183.00 to $183.40. 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.