Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Jan 24, 2023
- Accession no.
- 0001415889-23-001426
- Filed
- Jan 24, 2023
- Trade date
- Jan 20-24, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 13 non-derivative transactions and 4 derivative transactions. Open-market sales total $75.0M. It was filed 4 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 20, 2023 | Common Stock | MOption exerciseAcquired | +52,261 | $185.02 | +$9,669,330.22 | 2,331,831 | Direct | |
| Jan 20, 2023 | Common Stock | SSaleDisposed | −25,442 | $185.24F2 | −$4,712,876.08 | 2,306,389 | Direct | |
| Jan 20, 2023 | Common Stock | SSaleDisposed | −6,360 | $185.24F2 | −$1,178,126.4 | 2,300,029 | Direct | |
| Jan 23, 2023 | Common Stock | MOption exerciseAcquired | +444,266 | $188.95 | +$83,944,060.7 | 2,744,295 | Direct | |
| Jan 23, 2023 | Common Stock | SSaleAcquired | +214,732 | $190.17 | +$40,835,584.44 | 2,529,563 | Direct | |
| Jan 23, 2023 | Common Stock | SSaleDisposed | −53,683 | $190.17 | −$10,208,896.11 | 2,475,880 | Direct | |
| Jan 24, 2023 | Common Stock | MOption exerciseAcquired | +157,415 | $188.96 | +$29,745,138.4 | 2,633,295 | Direct | |
| Jan 24, 2023 | Common Stock | SSaleDisposed | −3,900 | $185.88F4 | −$724,932 | 2,629,395 | Direct | |
| Jan 24, 2023 | Common Stock | SSaleDisposed | −6,695 | $186.85F5 | −$1,250,960.75 | 2,622,700 | Direct | |
| Jan 24, 2023 | Common Stock | SSaleDisposed | −11,703 | $187.83F6 | −$2,198,174.49 | 2,610,997 | Direct | |
| Jan 24, 2023 | Common Stock | SSaleDisposed | −54,183 | $188.94F7 | −$10,237,336.02 | 2,556,814 | Direct | |
| Jan 24, 2023 | Common Stock | SSaleDisposed | −14,741 | $188.94F7 | −$2,785,164.54 | 2,542,073 | Direct | |
| Jan 24, 2023 | Common Stock | SSaleDisposed | −4,379 | $189.48F8 | −$829,732.92 | 2,537,694 | 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 20, 2023 | Common Stock | MOption exerciseDisposed | −52,261 | $0.00 | $0 | 1,144,598 | Direct | |
| Jan 23, 2023 | Common Stock | MOption exerciseDisposed | −83,622 | $0.00 | $0 | 1,060,976 | Direct | |
| Jan 23, 2023 | Common Stock | MOption exerciseDisposed | −360,644 | $0.00 | $0 | 700,332 | Direct | |
| Jan 24, 2023 | Common Stock | MOption exerciseDisposed | −157,415 | $0.00 | $0 | 542,917 | 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 $185.65. 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 $185.25 to $186.18. 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.
- F5
The transaction was executed in multiple trades at prices ranging from $186.30 to $187.26. 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 1 transaction in Table I.
- F6
The transaction was executed in multiple trades at prices ranging from $187.34 to $188.33. 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 $188.34 to $189.33 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.
- F8
The transaction was executed in multiple trades at prices ranging from $189.34 to $189.70. 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.