Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Nov 29, 2021
- Accession no.
- 0001415889-21-005557
- Filed
- Nov 29, 2021
- Trade date
- Nov 24-29, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 3 derivative transactions. Open-market sales total $14.1M. It was filed 5 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 24, 2021 | Common Stock | MOption exerciseAcquired | +56,619 | $179.86 | +$10,183,493.34 | 2,209,897 | Direct | |
| Nov 24, 2021 | Common Stock | SSaleDisposed | −27,718 | $180.05F2 | −$4,990,625.9 | 2,182,179 | Direct | |
| Nov 24, 2021 | Common Stock | SSaleDisposed | −6,930 | $180.05F2 | −$1,247,746.5 | 2,175,249 | Direct | |
| Nov 26, 2021 | Common Stock | MOption exerciseAcquired | +7,457 | $177.20 | +$1,321,380.4 | 2,182,706 | Direct | |
| Nov 26, 2021 | Common Stock | SSaleDisposed | −3,628 | $180.07F3 | −$653,293.96 | 2,179,078 | Direct | |
| Nov 26, 2021 | Common Stock | SSaleDisposed | −907 | $180.07F3 | −$163,323.49 | 2,178,171 | Direct | |
| Nov 29, 2021 | Common Stock | MOption exerciseAcquired | +64,245 | $179.75 | +$11,548,038.75 | 2,242,416 | Direct | |
| Nov 29, 2021 | Common Stock | SSaleDisposed | −31,433 | $180.15F4 | −$5,662,654.95 | 2,210,983 | Direct | |
| Nov 29, 2021 | Common Stock | SSaleDisposed | −7,858 | $180.15F4 | −$1,415,618.7 | 2,203,125 | 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 24, 2021 | Common Stock | MOption exerciseDisposed | −56,619 | $0.00 | $0 | 1,461,916 | Direct | |
| Nov 26, 2021 | Common Stock | MOption exerciseDisposed | −7,457 | $0.00 | $0 | 1,454,459 | Direct | |
| Nov 29, 2021 | Common Stock | MOption exerciseDisposed | −64,245 | $0.00 | $0 | 1,390,214 | 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 $180.26. 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.
- F3
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.15. 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 2 transactions in Table I.
- F4
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.67. 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.