Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Mar 31, 2023
- Accession no.
- 0001415889-23-005711
- Filed
- Mar 31, 2023
- Trade date
- Mar 29-31, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 19 non-derivative transactions and 3 derivative transactions. Open-market sales total $49.1M. 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 29, 2023 | Common Stock | MOption exerciseAcquired | +116,135 | $216.83 | +$25,181,552.05 | 2,914,836 | Direct | |
| Mar 29, 2023 | Common Stock | SSaleDisposed | −54,913 | $217.28 | −$11,931,496.64 | 2,859,923 | Direct | |
| Mar 29, 2023 | Common Stock | SSaleDisposed | −13,728 | $217.28 | −$2,982,819.84 | 2,846,195 | Direct | |
| Mar 30, 2023 | Common Stock | MOption exerciseAcquired | +90,259 | $217.70 | +$19,649,384.3 | 2,936,454 | Direct | |
| Mar 30, 2023 | Common Stock | SSaleDisposed | −20,963 | $216.81F4 | −$4,544,988.03 | 2,915,491 | Direct | |
| Mar 30, 2023 | Common Stock | SSaleDisposed | −21,782 | $217.66F5 | −$4,741,070.12 | 2,893,709 | Direct | |
| Mar 30, 2023 | Common Stock | SSaleDisposed | −9,363 | $217.66F5 | −$2,037,950.58 | 2,884,346 | Direct | |
| Mar 30, 2023 | Common Stock | SSaleDisposed | −820 | $218.37F6 | −$179,063.4 | 2,883,526 | Direct | |
| Mar 30, 2023 | Common Stock | SSaleDisposed | −503 | $219.30 | −$110,307.9 | 2,883,023 | Direct | |
| Mar 31, 2023 | Common Stock | MOption exerciseAcquired | +200,280 | $224.85 | +$45,032,958 | 3,083,303 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −1,952 | $219.49F7 | −$428,444.48 | 3,081,351 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −891 | $221.31F8 | −$197,187.21 | 3,080,460 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −17,620 | $222.05F9 | −$3,912,521 | 3,062,840 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −15,239 | $223.13F10 | −$3,400,278.07 | 3,047,601 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −9,547 | $224.26F11 | −$2,141,010.22 | 3,038,054 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −43,356 | $224.92F12 | −$9,751,631.52 | 2,994,698 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −5,832 | $226.16F13 | −$1,318,965.12 | 2,988,866 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −3,340 | $226.16F13 | −$755,374.4 | 2,985,526 | Direct | |
| Mar 31, 2023 | Common Stock | SSaleDisposed | −2,757 | $227.04F14 | −$625,949.28 | 2,982,769 | 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 29, 2023 | Common Stock | MOption exerciseDisposed | −116,135 | $0.00 | $0 | 296,473 | Direct | |
| Mar 30, 2023 | Common Stock | MOption exerciseDisposed | −90,259 | $0.00 | $0 | 206,214 | Direct | |
| Mar 31, 2023 | Common Stock | MOption exerciseDisposed | −200,280 | $0.00 | $0 | 5,934 | 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.
- F4
The transaction was executed in multiple trades at prices ranging from $216.25 to $217.24. 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 1 transaction in Table I.
- F5
The transaction was executed in multiple trades at prices ranging from $217.25 to $218.22. 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.
- F6
The transaction was executed in multiple trades at prices ranging from $218.25 to $219.07. 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 $218.88 to $219.87. 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 $220.62 to $221.61. 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 $221.62 to $222.61. 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 $222.63 to $223.62. 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.
- F11
The transaction was executed in multiple trades at prices ranging from $223.64 to $224.63. 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 $224.64 to $225.56. 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.
- F13
The transaction was executed in multiple trades at prices ranging from $225.70 to $226.66. 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 2 transactions in Table I.
- F14
The transaction was executed in multiple trades at prices ranging from $226.72 to $227.57. 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.