Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Mar 28, 2023
- Accession no.
- 0001415889-23-005537
- Filed
- Mar 28, 2023
- Trade date
- Mar 24-28, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 13 non-derivative transactions and 4 derivative transactions. Open-market sales total $15.9M. 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 27, 2023 | Common Stock | MOption exerciseAcquired | +57,863 | $218.59 | +$12,648,273.17 | 2,806,019 | Direct | |
| Mar 27, 2023 | Common Stock | SSaleDisposed | −5,408 | $216.52F3 | −$1,170,940.16 | 2,800,611 | Direct | |
| Mar 27, 2023 | Common Stock | SSaleDisposed | −16,993 | $217.55F4 | −$3,696,827.15 | 2,783,618 | Direct | |
| Mar 27, 2023 | Common Stock | SSaleDisposed | −5,019 | $218.36F5 | −$1,095,948.84 | 2,778,599 | Direct | |
| Mar 27, 2023 | Common Stock | SSaleDisposed | −4,157 | $218.36F5 | −$907,722.52 | 2,774,442 | Direct | |
| Mar 27, 2023 | Common Stock | SSaleDisposed | −2,270 | $219.47F7 | −$498,196.9 | 2,772,172 | Direct | |
| Mar 27, 2023 | Common Stock | SSaleDisposed | −428 | $220.14F8 | −$94,219.92 | 2,771,744 | Direct | |
| Mar 28, 2023 | Common Stock | MOption exerciseAcquired | +66,076 | $215.60 | +$14,245,985.6 | 2,837,820 | Direct | |
| Mar 28, 2023 | Common Stock | SSaleDisposed | −27,963 | $215.40F9 | −$6,023,230.2 | 2,809,857 | Direct | |
| Mar 28, 2023 | Common Stock | SSaleDisposed | −3,332 | $216.07F10 | −$719,945.24 | 2,806,525 | Direct | |
| Mar 28, 2023 | Common Stock | SSaleDisposed | −1,742 | $216.07F10 | −$376,393.94 | 2,804,783 | Direct | |
| Mar 28, 2023 | Common Stock | SSaleDisposed | −4,689 | $217.29F11 | −$1,018,872.81 | 2,800,094 | Direct | |
| Mar 28, 2023 | Common Stock | SSaleDisposed | −1,393 | $218.09F12 | −$303,799.37 | 2,798,701 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 24, 2023 | Common Stock | AGrant or awardAcquired | +530,488 | $0.00 | $0 | 536,547 | Direct | |
| Mar 27, 2023 | Common Stock | MOption exerciseDisposed | −6,059 | $0.00 | $0 | 530,488 | Direct | |
| Mar 27, 2023 | Common Stock | MOption exerciseDisposed | −51,804 | $0.00 | $0 | 478,684 | Direct | |
| Mar 28, 2023 | Common Stock | MOption exerciseDisposed | −66,076 | $0.00 | $0 | 412,608 | 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.
- F3
The transaction was executed in multiple trades at prices ranging from $215.90 to $216.89. 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 $216.90 to $217.89. 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 $217.90 to $218.89. 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.
- F7
The transaction was executed in multiple trades at prices ranging from $218.90 to $219.68. 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 $219.93 to $220.36. 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 $214.78 to $215.77. 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.
- F10
The transaction was executed in multiple trades at prices ranging from $215.78 to $216.67. 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.
- F11
The transaction was executed in multiple trades at prices ranging from $216.78 to $217.76. 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.
- F12
The transaction was executed in multiple trades at prices ranging from $217.81 to $218.72. 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.