Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Dec 2, 2021
- Accession no.
- 0001415889-21-005647
- Filed
- Dec 2, 2021
- Trade date
- Nov 30-Dec 2, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.42M. 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 30, 2021 | Common Stock | MOption exerciseAcquired | +13,233 | $168.79 | +$2,233,598.07 | 2,216,358 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −6,305 | $180.30F2 | −$1,136,791.5 | 2,210,053 | Direct | |
| Nov 30, 2021 | Common Stock | SSaleDisposed | −1,576 | $180.30F2 | −$284,152.8 | 2,208,477 | Direct | |
| Dec 2, 2021 | Common Stock | AGrant or awardAcquired | +5 | $0.00 | $0 | 2,208,482 | Direct | |
| Dec 2, 2021 | Common Stock | FTax withholdingDisposed | −2 | $159.36 | −$318.72 | 2,208,480 | 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 30, 2021 | Common Stock | MOption exerciseDisposed | −13,233 | $0.00 | $0 | 1,376,981 | 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 $180.01 to $180.995. 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.