Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Jan 19, 2023
- Accession no.
- 0001415889-23-001242
- Filed
- Jan 19, 2023
- Trade date
- Jan 17-19, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 3 derivative transactions. Open-market sales total $20.3M. 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 17, 2023 | Common Stock | MOption exerciseAcquired | +117,753 | $184.47 | +$21,721,895.91 | 2,326,233 | Direct | |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −54,057 | $185.35F2 | −$10,019,464.95 | 2,272,176 | Direct | |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −3,142 | $186.47F3 | −$585,888.74 | 2,269,034 | Direct | |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −5,638 | $186.47F3 | −$1,051,317.86 | 2,263,396 | Direct | |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −6,262 | $187.47F5 | −$1,173,937.14 | 2,257,134 | Direct | |
| Jan 17, 2023 | Common Stock | SSaleDisposed | −2,400 | $188.31F6 | −$451,944 | 2,254,734 | Direct | |
| Jan 18, 2023 | Common Stock | MOption exerciseAcquired | +60,229 | $182.27 | +$10,977,939.83 | 2,314,963 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −9,336 | $185.46F2 | −$1,731,454.56 | 2,305,627 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −6,336 | $186.60F7 | −$1,182,297.6 | 2,299,291 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −13,314 | $187.44F8 | −$2,495,576.16 | 2,285,977 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −4,447 | $187.44F8 | −$833,545.68 | 2,281,530 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −2,800 | $188.28F9 | −$527,184 | 2,278,730 | Direct | |
| Jan 19, 2023 | Common Stock | MOption exerciseAcquired | +2,140 | $184.06 | +$393,888.4 | 2,280,870 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −1,040 | $185.06F10 | −$192,462.4 | 2,279,830 | Direct | |
| Jan 19, 2023 | Common Stock | SSaleDisposed | −260 | $185.06F10 | −$48,115.6 | 2,279,570 | 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 |
|---|---|---|---|---|---|---|---|---|
| Jan 17, 2023 | Common Stock | MOption exerciseDisposed | −117,753 | $0.00 | $0 | 1,259,228 | Direct | |
| Jan 18, 2023 | Common Stock | MOption exerciseDisposed | −60,229 | $0.00 | $0 | 1,198,999 | Direct | |
| Jan 19, 2023 | Common Stock | MOption exerciseDisposed | −2,140 | $0.00 | $0 | 1,196,859 | 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 $185.00 to $185.98. 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 $186.00 to $186.96. 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 2 transactions in Table I.
- F5
The transaction was executed in multiple trades at prices ranging from $187.00 to $187.99. 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 1 transaction in Table I.
- F6
The transaction was executed in multiple trades at prices ranging from $188.15 to $189.00. 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.
- F7
The transaction was executed in multiple trades at prices ranging from $186.00 to $186.93. 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.
- F8
The transaction was executed in multiple trades at prices ranging from $187.01 to $187.94. 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.
- F9
The transaction was executed in multiple trades at prices ranging from $188.05 to $188.56. 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 $185.00 to $185.24. 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.