Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2021/11/5 申報
- 申報編號
- 0001415889-21-005092
- 申報時間
- 2021/11/5
- 交易日
- 2021/11/3-11/5
- 申報延遲
- 2 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 18 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $2,602 萬。交易後 2 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/3 | Common Stock | M行使選擇權取得 | +81,765 | $184.91 | +$15,119,166.15 | 765,329 | 直接 | |
| 2021/11/3 | Common Stock | S賣出處分 | −6,965 | $181.79F2 | −$1,266,167.35 | 758,364 | 直接 | |
| 2021/11/3 | Common Stock | S賣出處分 | −15,446 | $182.61F3 | −$2,820,594.06 | 742,918 | 直接 | |
| 2021/11/3 | Common Stock | S賣出處分 | −9,151 | $183.65F4 | −$1,680,581.15 | 733,767 | 直接 | |
| 2021/11/3 | Common Stock | S賣出處分 | −8,474 | $184.58F5 | −$1,564,130.92 | 725,293 | 直接 | |
| 2021/11/3 | Common Stock | S賣出處分 | −10,009 | $184.58F5 | −$1,847,461.22 | 715,284 | 直接 | |
| 2021/11/4 | Common Stock | M行使選擇權取得 | +63,260 | $184.54 | +$11,674,000.4 | 778,544 | 直接 | |
| 2021/11/4 | Common Stock | S賣出處分 | −7,710 | $183.50F7 | −$1,414,785 | 770,834 | 直接 | |
| 2021/11/4 | Common Stock | S賣出處分 | −3,039 | $183.50F7 | −$557,656.5 | 767,795 | 直接 | |
| 2021/11/4 | Common Stock | S賣出處分 | −17,819 | $184.15F8 | −$3,281,368.85 | 749,976 | 直接 | |
| 2021/11/4 | Common Stock | S賣出處分 | −1,622 | $185.02F9 | −$300,102.44 | 748,354 | 直接 | |
| 2021/11/4 | Common Stock | S賣出處分 | −6,840 | $186.18F10 | −$1,273,471.2 | 741,514 | 直接 | |
| 2021/11/4 | Common Stock | S賣出處分 | −1,520 | $187.12F11 | −$284,422.4 | 739,994 | 直接 | |
| 2021/11/5 | Common Stock | M行使選擇權取得 | +87,198 | $182.64 | +$15,925,842.72 | 827,192 | 直接 | |
| 2021/11/5 | Common Stock | S賣出處分 | −10,632 | $182.38F12 | −$1,939,064.16 | 816,560 | 直接 | |
| 2021/11/5 | Common Stock | S賣出處分 | −6,817 | $182.38F12 | −$1,243,284.46 | 809,743 | 直接 | |
| 2021/11/5 | Common Stock | S賣出處分 | −30,642 | $183.33F13 | −$5,617,597.86 | 779,101 | 直接 | |
| 2021/11/5 | Common Stock | S賣出處分 | −5,069 | $183.84F14 | −$931,884.96 | 774,032 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/3 | Common Stock | M行使選擇權處分 | −81,765 | $0.00 | $0 | 3,511,395 | 直接 | |
| 2021/11/4 | Common Stock | M行使選擇權處分 | −63,260 | $0.00 | $0 | 3,448,135 | 直接 | |
| 2021/11/5 | Common Stock | M行使選擇權處分 | −87,198 | $0.00 | $0 | 3,360,937 | 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 $181.19 to $182.18. 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。
- F3
The transaction was executed in multiple trades at prices ranging from $182.19 to $183.15. 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。
- F4
The transaction was executed in multiple trades at prices ranging from $183.20 to $184.18. 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 $184.20 to $185.00. 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 2 筆交易的價格引用這則附註。
- F7
The transaction was executed in multiple trades at prices ranging from $182.88 to $183.87. 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。
- F8
The transaction was executed in multiple trades at prices ranging from $183.89 to $184.83. 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。
- F9
The transaction was executed in multiple trades at prices ranging from $184.91 to $185.06. 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 $185.96 to $186.95. 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 $186.96 to $187.31. 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 $181.78 to $182.77. 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。
- F13
The transaction was executed in multiple trades at prices ranging from $182.78 to $183.775. 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 $183.78 to $184.01. 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。