Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2021/11/2 申報
- 申報編號
- 0001415889-21-005044
- 申報時間
- 2021/11/2
- 交易日
- 2021/10/29-11/2
- 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 12 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $1,722 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/29 | Common Stock | M行使選擇權取得 | +8,052 | $179.96 | +$1,449,037.92 | 631,229 | 直接 | |
| 2021/10/29 | Common Stock | S賣出處分 | −985 | $180.11F2 | −$177,408.35 | 630,244 | 直接 | |
| 2021/10/29 | Common Stock | S賣出處分 | −3,942 | $180.11F2 | −$709,993.62 | 626,302 | 直接 | |
| 2021/11/1 | Common Stock | M行使選擇權取得 | +85,234 | $180.67 | +$15,399,226.78 | 711,536 | 直接 | |
| 2021/11/1 | Common Stock | S賣出處分 | −10,423 | $180.47F4 | −$1,881,038.81 | 701,113 | 直接 | |
| 2021/11/1 | Common Stock | S賣出處分 | −26,652 | $180.47F4 | −$4,809,886.44 | 674,461 | 直接 | |
| 2021/11/1 | Common Stock | S賣出處分 | −10,008 | $181.45F5 | −$1,815,951.6 | 664,453 | 直接 | |
| 2021/11/1 | Common Stock | S賣出處分 | −5,034 | $182.25F6 | −$917,446.5 | 659,419 | 直接 | |
| 2021/11/2 | Common Stock | M行使選擇權取得 | +62,349 | $181.60 | +$11,322,578.4 | 721,768 | 直接 | |
| 2021/11/2 | Common Stock | S賣出處分 | −7,641 | $180.37F4 | −$1,378,207.17 | 714,127 | 直接 | |
| 2021/11/2 | Common Stock | S賣出處分 | −13,324 | $180.37F4 | −$2,403,249.88 | 700,803 | 直接 | |
| 2021/11/2 | Common Stock | S賣出處分 | −17,239 | $181.41F7 | −$3,127,326.99 | 683,564 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/29 | Common Stock | M行使選擇權處分 | −8,052 | $0.00 | $0 | 3,740,743 | 直接 | |
| 2021/11/1 | Common Stock | M行使選擇權處分 | −27,327 | $0.00 | $0 | 3,713,416 | 直接 | |
| 2021/11/1 | Common Stock | M行使選擇權處分 | −57,907 | $0.00 | $0 | 3,655,509 | 直接 | |
| 2021/11/2 | Common Stock | M行使選擇權處分 | −62,349 | $0.00 | $0 | 3,593,160 | 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 $180.50. 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 $180.99. 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 4 筆交易的價格引用這則附註。
- F5
The transaction was executed in multiple trades at prices ranging from $181.00 to $181.94. 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。
- F6
The transaction was executed in multiple trades at prices ranging from $182.00 to $182.69. 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 $181.00 to $181.88. 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.
表 I 有 1 筆交易的價格引用這則附註。