Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2021/10/26 申報
- 申報編號
- 0001415889-21-004978
- 申報時間
- 2021/10/26
- 交易日
- 2021/10/22-10/26
- 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 21 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $2,341 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/22 | Common Stock | M行使選擇權取得 | +62,716 | $182.65 | +$11,455,077.4 | 603,500 | 直接 | |
| 2021/10/22 | Common Stock | S賣出處分 | −7,680 | $180.48F2 | −$1,386,086.4 | 595,820 | 直接 | |
| 2021/10/22 | Common Stock | S賣出處分 | −337 | $180.48F2 | −$60,821.76 | 595,483 | 直接 | |
| 2021/10/22 | Common Stock | S賣出處分 | −15,326 | $181.38F4 | −$2,779,829.88 | 580,157 | 直接 | |
| 2021/10/22 | Common Stock | S賣出處分 | −11,830 | $182.43F5 | −$2,158,146.9 | 568,327 | 直接 | |
| 2021/10/22 | Common Stock | S賣出處分 | −1,159 | $183.18F6 | −$212,305.62 | 567,168 | 直接 | |
| 2021/10/22 | Common Stock | S賣出處分 | −1,140 | $184.58F7 | −$210,421.2 | 566,028 | 直接 | |
| 2021/10/22 | Common Stock | S賣出處分 | −929 | $185.31F8 | −$172,152.99 | 565,099 | 直接 | |
| 2021/10/25 | Common Stock | M行使選擇權取得 | +71,420 | $179.80 | +$12,841,316 | 636,519 | 直接 | |
| 2021/10/25 | Common Stock | S賣出處分 | −8,695 | $180.60F2 | −$1,570,317 | 627,824 | 直接 | |
| 2021/10/25 | Common Stock | S賣出處分 | −8,243 | $180.60F2 | −$1,488,685.8 | 619,581 | 直接 | |
| 2021/10/25 | Common Stock | S賣出處分 | −10,343 | $181.27F9 | −$1,874,875.61 | 609,238 | 直接 | |
| 2021/10/25 | Common Stock | S賣出處分 | −11,074 | $182.58F10 | −$2,021,890.92 | 598,164 | 直接 | |
| 2021/10/25 | Common Stock | S賣出處分 | −4,921 | $183.15F11 | −$901,281.15 | 593,243 | 直接 | |
| 2021/10/25 | Common Stock | S賣出處分 | −200 | $184.67 | −$36,934 | 593,043 | 直接 | |
| 2021/10/26 | Common Stock | M行使選擇權取得 | +77,254 | $180.20 | +$13,921,170.8 | 670,297 | 直接 | |
| 2021/10/26 | Common Stock | S賣出處分 | −9,424 | $180.31F2 | −$1,699,241.44 | 660,873 | 直接 | |
| 2021/10/26 | Common Stock | S賣出處分 | −14,966 | $180.31F2 | −$2,698,519.46 | 645,907 | 直接 | |
| 2021/10/26 | Common Stock | S賣出處分 | −6,368 | $181.30F12 | −$1,154,518.4 | 639,539 | 直接 | |
| 2021/10/26 | Common Stock | S賣出處分 | −14,862 | $182.61F13 | −$2,713,949.82 | 624,677 | 直接 | |
| 2021/10/26 | Common Stock | S賣出處分 | −1,500 | $183.18F14 | −$274,770 | 623,177 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/22 | Common Stock | M行使選擇權處分 | −62,716 | $0.00 | $0 | 3,897,469 | 直接 | |
| 2021/10/25 | Common Stock | M行使選擇權處分 | −71,420 | $0.00 | $0 | 3,826,049 | 直接 | |
| 2021/10/26 | Common Stock | M行使選擇權處分 | −77,254 | $0.00 | $0 | 3,748,795 | 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 $180.99. 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 6 筆交易的價格引用這則附註。
- F4
The transaction was executed in multiple trades at prices ranging from $181.00 to $181.99. 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。
- F5
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.92. 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.
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 $183.01 to $184.00. 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 $184.11 to $185.05. 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。
- F8
The transaction was executed in multiple trades at prices ranging from $185.13 to $185.94. 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。
- F9
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。
- F10
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.99. 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。
- F11
The transaction was executed in multiple trades at prices ranging from $183.00 to $183.83. 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.
表 I 有 1 筆交易的價格引用這則附註。
- F12
The transaction was executed in multiple trades at prices ranging from $181.00 to $181.91. 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。
- F13
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.96 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。
- F14
The transaction was executed in multiple trades at prices ranging from $183.00 to $183.29. 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。