Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2021/11/10 申報
- 申報編號
- 0001415889-21-005128
- 申報時間
- 2021/11/10
- 交易日
- 2021/11/8-11/9
- 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 8 筆非衍生性交易、2 筆衍生性交易。公開市場賣出合計 $40.0 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/8 | Common Stock | M行使選擇權取得 | +3,326 | $176.65 | +$587,537.9 | 777,358 | 直接 | |
| 2021/11/8 | Common Stock | S賣出處分 | −403 | $180.20F2 | −$72,620.6 | 776,955 | 直接 | |
| 2021/11/8 | Common Stock | S賣出處分 | −1,013 | $180.20F2 | −$182,542.6 | 775,942 | 直接 | |
| 2021/11/8 | Common Stock | S賣出處分 | −400 | $181.46F4 | −$72,584 | 775,542 | 直接 | |
| 2021/11/8 | Common Stock | S賣出處分 | −200 | $182.11F5 | −$36,422 | 775,342 | 直接 | |
| 2021/11/9 | Common Stock | M行使選擇權取得 | +330 | $176.40 | +$58,212 | 775,672 | 直接 | |
| 2021/11/9 | Common Stock | S賣出處分 | −40 | $180.04F6 | −$7,201.6 | 775,632 | 直接 | |
| 2021/11/9 | Common Stock | S賣出處分 | −160 | $180.04F6 | −$28,806.4 | 775,472 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/8 | Common Stock | M行使選擇權處分 | −3,326 | $0.00 | $0 | 3,357,611 | 直接 | |
| 2021/11/9 | Common Stock | M行使選擇權處分 | −330 | $0.00 | $0 | 3,357,281 | 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 $180.24. 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 $181.07 to $182.00. 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。
- F5
The transaction was executed in multiple trades at prices ranging from $182.10 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。
- F6
The transaction was executed in multiple trades at prices ranging from $180.02 to $180.06. 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 2 筆交易的價格引用這則附註。