Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2021/10/18 申報
- 申報編號
- 0001415889-21-004903
- 申報時間
- 2021/10/18
- 交易日
- 2021/10/14-10/18
- 申報延遲
- 4 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 11 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $630.3 萬。交易後 4 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Smith Patrick WCIK 0001167028 | 董事、高階主管（執行長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/14 | Common Stock | M行使選擇權取得 | +7,046 | $179.03 | +$1,261,445.38 | 437,562 | 直接 | |
| 2021/10/15 | Common Stock | M行使選擇權取得 | +6,833 | $177.94 | +$1,215,864.02 | 444,395 | 直接 | |
| 2021/10/15 | Common Stock | S賣出處分 | −3,330 | $180.08F2 | −$599,666.4 | 441,065 | 直接 | |
| 2021/10/14 | Common Stock | S賣出處分 | −860 | $180.19F4 | −$154,963.4 | 440,205 | 直接 | |
| 2021/10/15 | Common Stock | S賣出處分 | −832 | $180.08F2 | −$149,826.56 | 439,373 | 直接 | |
| 2021/10/14 | Common Stock | S賣出處分 | −3,441 | $180.19F4 | −$620,033.79 | 435,932 | 直接 | |
| 2021/10/18 | Common Stock | M行使選擇權取得 | +43,046 | $181.70 | +$7,821,458.2 | 478,978 | 直接 | |
| 2021/10/18 | Common Stock | S賣出處分 | −4,203 | $180.66F5 | −$759,313.98 | 474,775 | 直接 | |
| 2021/10/18 | Common Stock | S賣出處分 | −15,437 | $181.55F6 | −$2,802,587.35 | 459,338 | 直接 | |
| 2021/10/18 | Common Stock | S賣出處分 | −1,410 | $182.41F7 | −$257,198.1 | 457,928 | 直接 | |
| 2021/10/18 | Common Stock | S賣出處分 | −5,262 | $182.41F7 | −$959,841.42 | 452,666 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/14 | Common Stock | M行使選擇權處分 | −7,046 | $0.00 | $0 | 4,236,858 | 直接 | |
| 2021/10/15 | Common Stock | M行使選擇權處分 | −6,833 | $0.00 | $0 | 4,230,025 | 直接 | |
| 2021/10/18 | Common Stock | M行使選擇權處分 | −43,046 | $0.00 | $0 | 4,186,979 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F2
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.35. 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.
表 I 有 2 筆交易的價格引用這則附註。
- F4
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.57. 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.
表 I 有 2 筆交易的價格引用這則附註。
- F5
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.99. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The transaction was executed in multiple trades at prices ranging from $181.00 to $181.98. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.81. 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.
表 I 有 2 筆交易的價格引用這則附註。