Smith Patrick W's Form 4 filing
Axon Enterprise, Inc. (AXON) · filed Oct 2, 2024
- Accession no.
- 0001415889-24-024538
- Filed
- Oct 2, 2024
- Trade date
- Sep 30-Oct 2, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 12 non-derivative transactions and 3 derivative transactions. Open-market sales total $66.3M. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2024 | Common Stock | MOption exerciseAcquired | +10,118 | $399.60 | +$4,043,152.8 | 2,934.95 | Direct | |
| Sep 30, 2024 | Common Stock | SSaleDisposed | −4,746 | $400.02F3 | −$1,898,494.92 | 2,930,199 | Direct | |
| Oct 1, 2024 | Common Stock | MOption exerciseAcquired | +100,917 | $399.22 | +$40,288,084.74 | 3,031,116 | Direct | |
| Oct 1, 2024 | Common Stock | SSaleDisposed | −47,314 | $400.07F4 | −$18,928,911.98 | 2,983,802 | Direct | |
| Oct 2, 2024 | Common Stock | MOption exerciseAcquired | +58,965 | $404.51 | +$23,851,932.15 | 3,042,767 | Direct | |
| Oct 2, 2024 | Common Stock | SSaleDisposed | −13,422 | $400.07F5 | −$5,369,739.54 | 3,029,345 | Direct | |
| Oct 2, 2024 | Common Stock | SSaleDisposed | −2,373 | $401.66F6 | −$953,139.18 | 3,026,972 | Direct | |
| Oct 2, 2024 | Common Stock | SSaleDisposed | −11,912 | $402.60F7 | −$4,795,771.2 | 3,015,060 | Direct | |
| Oct 2, 2024 | Common Stock | SSaleDisposed | −15,613 | $402.60F7 | −$6,285,793.8 | 2,999,447 | Direct | |
| Oct 2, 2024 | Common Stock | SSaleDisposed | −49,896 | $403.44F8 | −$20,130,042.24 | 2,949,551 | Direct | |
| Oct 2, 2024 | Common Stock | SSaleDisposed | −15,986 | $404.39F9 | −$6,464,578.54 | 2,933,565 | Direct | |
| Oct 2, 2024 | Common Stock | SSaleDisposed | −3,738 | $405.22F10 | −$1,514,712.36 | 2,929,827 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2024 | Common Stock | MOption exerciseDisposed | −10,118 | $0.00 | $0 | 180,813 | Direct | |
| Oct 1, 2024 | Common Stock | MOption exerciseDisposed | −100,917 | $0.00 | $0 | 79,896 | Direct | |
| Oct 2, 2024 | Common Stock | MOption exerciseDisposed | −58,965 | $0.00 | $0 | 20,931 | 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 $400.00 to $400.07. 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.
- F4
The transaction was executed in multiple trades at prices ranging from $400.00 to $400.79. 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.
- F5
The transaction was executed in multiple trades at prices ranging from $400.00 to $400.88. 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 $401.00 to $401.98. 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.
- F7
The transaction was executed in multiple trades at prices ranging from $402.00 to $402.99. 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 2 transactions in Table I.
- F8
The transaction was executed in multiple trades at prices ranging from $403.00 to $403.99. 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.
- F9
The transaction was executed in multiple trades at prices ranging from $404.00 to $404.97. 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 $405.00 to $405.83. 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.