Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Jan 27, 2023
- Accession no.
- 0001415889-23-001515
- Filed
- Jan 27, 2023
- Trade date
- Jan 25-27, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 27 non-derivative transactions and 4 derivative transactions. Open-market sales total $62.1M. 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 25, 2023 | Common Stock | MOption exerciseAcquired | +157,955 | $192.18 | +$30,355,791.9 | 2,695,649 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −4,803 | $185.35F2 | −$890,236.05 | 2,690,846 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −4,072 | $186.22F3 | −$758,287.84 | 2,686,774 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −10,026 | $187.54F4 | −$1,880,276.04 | 2,676,748 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −9,455 | $188.73F5 | −$1,784,442.15 | 2,667,293 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −18,833 | $189.38F6 | −$3,566,593.54 | 2,648,460 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −11,114 | $190.81F7 | −$2,120,662.34 | 2,637,346 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −14,242 | $191.94F8 | −$2,733,609.48 | 2,623,104 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −4,367 | $192.41F9 | −$840,254.47 | 2,618,737 | Direct | |
| Jan 25, 2023 | Common Stock | SSaleDisposed | −19,228 | $192.41F9 | −$3,699,659.48 | 2,599,509 | Direct | |
| Jan 26, 2023 | Common Stock | MOption exerciseAcquired | +219,829 | $192.33 | +$42,279,711.57 | 2,819,338 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −11,021 | $187.20F11 | −$2,063,131.2 | 2,808,317 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −12,106 | $188.35F12 | −$2,280,165.1 | 2,796,211 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −14,919 | $189.46F13 | −$2,826,553.74 | 2,781,292 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −30,644 | $190.26F14 | −$5,830,327.44 | 2,750,648 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −38,257 | $191.25F15 | −$7,316,651.25 | 2,712,391 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −277 | $191.25F15 | −$52,976.25 | 2,712,114 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −22,306 | $192.16F16 | −$4,286,320.96 | 2,689,808 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −2,864 | $193.43F17 | −$553,983.52 | 2,686,944 | Direct | |
| Jan 26, 2023 | Common Stock | SSaleDisposed | −1,290 | $194.42F18 | −$250,801.8 | 2,685,654 | Direct | |
| Jan 27, 2023 | Common Stock | MOption exerciseAcquired | +159,074 | $191.61 | +$30,480,169.14 | 2,844,728 | Direct | |
| Jan 27, 2023 | Common Stock | SSaleDisposed | −22,326 | $189.24F19 | −$4,224,972.24 | 2,822,402 | Direct | |
| Jan 27, 2023 | Common Stock | SSaleDisposed | −46,086 | $190.18F20 | −$8,764,635.48 | 2,776,316 | Direct | |
| Jan 27, 2023 | Common Stock | SSaleDisposed | −8,848 | $191.11F21 | −$1,690,941.28 | 2,767,468 | Direct | |
| Jan 27, 2023 | Common Stock | SSaleDisposed | −4,070 | $191.11F21 | −$777,817.7 | 2,763,398 | Direct | |
| Jan 27, 2023 | Common Stock | SSaleDisposed | −8,061 | $192.41F22 | −$1,551,017.01 | 2,755,337 | Direct | |
| Jan 27, 2023 | Common Stock | SSaleDisposed | −7,184 | $193.09F23 | −$1,387,158.56 | 2,748,153 | 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 25, 2023 | Common Stock | MOption exerciseDisposed | −12,429 | $0.00 | $0 | 530,488 | Direct | |
| Jan 25, 2023 | Common Stock | MOption exerciseDisposed | −145,526 | $0.00 | $0 | 384,962 | Direct | |
| Jan 26, 2023 | Common Stock | MOption exerciseDisposed | −219,829 | $0.00 | $0 | 165,133 | Direct | |
| Jan 27, 2023 | Common Stock | MOption exerciseDisposed | −159,074 | $0.00 | $0 | 6,059 | 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 1 transaction in Table I.
- F3
The transaction was executed in multiple trades at prices ranging from $186.01 to $187.00. 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.
- F4
The transaction was executed in multiple trades at prices ranging from $187.01 to $188.00. 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.
- F5
The transaction was executed in multiple trades at prices ranging from $188.10 to $189.09. 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 $189.10 to $190.06. 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 $190.14 to $191.13. 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 $191.15 to $192.14. 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.
- F9
The transaction was executed in multiple trades at prices ranging from $192.15 to $193.02. 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.
- F11
The transaction was executed in multiple trades at prices ranging from $186.70 to $187.66. 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.
- F12
The transaction was executed in multiple trades at prices ranging from $187.80 to $188.79. 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.
- F13
The transaction was executed in multiple trades at prices ranging from $188.80 to $189.79. 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.
- F14
The transaction was executed in multiple trades at prices ranging from $189.80 to $190.79. 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.
- F15
The transaction was executed in multiple trades at prices ranging from $190.80 to $191.79. 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.
- F16
The transaction was executed in multiple trades at prices ranging from $191.83 to $192.80. 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.
- F17
The transaction was executed in multiple trades at prices ranging from $193.00 to $193.98. 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 1 transaction in Table I.
- F18
The transaction was executed in multiple trades at prices ranging from $194.07 to $194.50. 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 1 transaction in Table I.
- F19
The transaction was executed in multiple trades at prices ranging from $188.74 to $189.73. 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.
- F20
The transaction was executed in multiple trades at prices ranging from $189.78 to $190.77. 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.
- F21
The transaction was executed in multiple trades at prices ranging from $190.78 to $191.70. 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 2 transactions in Table I.
- F22
The transaction was executed in multiple trades at prices ranging from $191.82 to $192.76. 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.
- F23
The transaction was executed in multiple trades at prices ranging from $192.82 to $193.69. 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.