Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Sep 4, 2024
- Accession no.
- 0001415889-24-022803
- Filed
- Sep 4, 2024
- Trade date
- Aug 30-Sep 4, 2024
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Checked
This filing lists 22 non-derivative transactions and 2 derivative transactions. Open-market sales total $61.0M. It was filed 5 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 30, 2024 | Common Stock | MOption exerciseAcquired | +105,495 | $364.97 | +$38,502,510.15 | 3,030,861 | Direct | |
| Aug 30, 2024 | Common Stock | SSaleDisposed | −1,308 | $361.48F3 | −$472,815.84 | 3,029,553 | Direct | |
| Aug 30, 2024 | Common Stock | SSaleDisposed | −6,555 | $362.20F4 | −$2,374,221 | 3,022,998 | Direct | |
| Aug 30, 2024 | Common Stock | SSaleDisposed | −9,530 | $363.29F5 | −$3,462,153.7 | 3,013,468 | Direct | |
| Aug 30, 2024 | Common Stock | SSaleDisposed | −12,386 | $364.24F6 | −$4,511,476.64 | 3,001,082 | Direct | |
| Aug 30, 2024 | Common Stock | SSaleDisposed | −20,221 | $364.98F7 | −$7,380,260.58 | 2,980,861 | Direct | |
| Sep 3, 2024 | Common Stock | MOption exerciseAcquired | +64,505 | $355.16 | +$22,909,595.8 | 3,045,366 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −28,217 | $355.15F8 | −$10,021,267.55 | 3,017,149 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −2,322 | $355.98F9 | −$826,585.56 | 3,014,827 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −18,226 | $355.98F9 | −$6,488,091.48 | 2,996,601 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −8,766 | $356.96F11 | −$3,129,111.36 | 2,987,835 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −5,273 | $358.10F12 | −$1,888,261.3 | 2,982,562 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −7,289 | $358.87F13 | −$2,615,803.43 | 2,975,273 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −2,076 | $359.91F14 | −$747,173.16 | 2,973,197 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −2,031 | $361.13F15 | −$733,455.03 | 2,971,166 | Direct | |
| Sep 3, 2024 | Common Stock | SSaleDisposed | −800 | $362.70 | −$290,160 | 2,970,366 | Direct | |
| Sep 4, 2024 | Common Stock | SSaleDisposed | −14,444 | $350.48F16 | −$5,062,333.12 | 2,955,922 | Direct | |
| Sep 4, 2024 | Common Stock | SSaleDisposed | −10,758 | $351.44F17 | −$3,780,791.52 | 2,945,164 | Direct | |
| Sep 4, 2024 | Common Stock | SSaleDisposed | −2,874 | $353.49F18 | −$1,015,930.26 | 2,942,290 | Direct | |
| Sep 4, 2024 | Common Stock | SSaleDisposed | −8,753 | $354.36F19 | −$3,101,713.08 | 2,933,537 | Direct | |
| Sep 4, 2024 | Common Stock | SSaleDisposed | −8,090 | $355.26F20 | −$2,874,053.4 | 2,925,447 | Direct | |
| Sep 4, 2024 | Common Stock | SSaleDisposed | −620 | $356.10F21 | −$220,782 | 2,924,827 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 30, 2024 | Common Stock | MOption exerciseDisposed | −105,495 | $0.00 | $0 | 255,436 | Direct | |
| Sep 3, 2024 | Common Stock | MOption exerciseDisposed | −64,505 | $0.00 | $0 | 190,931 | 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 $360.74 to $361.73. 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.
- F4
The transaction was executed in multiple trades at prices ranging from $361.74 to $362.73. 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.
- F5
The transaction was executed in multiple trades at prices ranging from $362.76 to $363.75. 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 $363.76 to $364.75. 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 $364.76 to $365.28. 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 $354.48 to $355.475. 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 $355.48 to $356.47. 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 $356.48 to $357.47. 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 $357.48 to $358.47. 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 $358.48 to $359.43. 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 $359.52 to $360.34. 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 $360.55 to $361.35. 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.
- F16
The transaction was executed in multiple trades at prices ranging from $350.00 to $350.99. 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.
- F17
The transaction was executed in multiple trades at prices ranging from $351.00 to $351.92. 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 $352.81 to $353.80. 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.
- F19
The transaction was executed in multiple trades at prices ranging from $353.82 to $354.81. 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 $354.82 to $355.80. 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.
- F21
The transaction was executed in multiple trades at prices ranging from $355.82 to $356.21. 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.