Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2021/11/17 申報
- 申報編號
- 0001415889-21-005283
- 申報時間
- 2021/11/17
- 交易日
- 2021/11/15-11/16
- 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 28 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $6,146 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/15 | Common Stock | M行使選擇權取得 | +1,067,255 | $167.41 | +$178,669,159.55 | 1,842,727 | 直接 | |
| 2021/11/16 | Common Stock | M行使選擇權取得 | +553,130 | $177.79 | +$98,340,982.7 | 2,395,857 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −65,990 | $180.26F2 | −$11,895,357.4 | 2,329,867 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −73,652 | $180.26F2 | −$13,276,509.52 | 2,256,215 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −35,854 | $181.37F4 | −$6,502,839.98 | 2,220,361 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −11,333 | $182.33F5 | −$2,066,345.89 | 2,209,028 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −9,959 | $183.37F6 | −$1,826,181.83 | 2,199,069 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −858 | $184.07F7 | −$157,932.06 | 2,198,211 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −800 | $185.71F8 | −$148,568 | 2,197,411 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −10,456 | $186.99F9 | −$1,955,167.44 | 2,186,955 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −6,576 | $188.03F10 | −$1,236,485.28 | 2,180,379 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −17,668 | $188.92F11 | −$3,337,838.56 | 2,162,711 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −11,956 | $190.09F12 | −$2,272,716.04 | 2,150,755 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −7,235 | $191.25F13 | −$1,383,693.75 | 2,143,520 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −9,431 | $192.08F14 | −$1,811,506.48 | 2,134,089 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −10,371 | $193.07F15 | −$2,002,328.97 | 2,123,718 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −422 | $193.75F16 | −$81,762.5 | 2,123,296 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −7,585 | $195.68F17 | −$1,484,232.8 | 2,115,711 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −8,032 | $196.95F18 | −$1,581,902.4 | 2,107,679 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −4,759 | $197.91F19 | −$941,853.69 | 2,102,920 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −4,222 | $198.80F20 | −$839,333.6 | 2,098,698 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −10,192 | $199.99F21 | −$2,038,298.08 | 2,088,506 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −1,000 | $201.09F22 | −$201,090 | 2,087,506 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −5,979 | $202.47F23 | −$1,210,568.13 | 2,081,527 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −5,741 | $203.76F24 | −$1,169,786.16 | 2,075,786 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −3,556 | $204.80F25 | −$728,268.8 | 2,072,230 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −3,325 | $205.67F26 | −$683,852.75 | 2,068,905 | 直接 | |
| 2021/11/16 | Common Stock | S賣出處分 | −3,000 | $206.87F27 | −$620,610 | 2,065,905 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/15 | Common Stock | M行使選擇權處分 | −174,353 | $0.00 | $0 | 3,182,928 | 直接 | |
| 2021/11/15 | Common Stock | M行使選擇權處分 | −530,488 | $0.00 | $0 | 2,652,440 | 直接 | |
| 2021/11/15 | Common Stock | M行使選擇權處分 | −1,417,111 | $0.00 | $0 | 1,235,329 | 直接 | |
| 2021/11/16 | Common Stock | M行使選擇權處分 | −553,130 | $0.00 | $0 | 682,199 | 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 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 $181.00 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 $182.88. 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。
- F6
The transaction was executed in multiple trades at prices ranging from $183.00 to $183.90. 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 $184.00 to $184.72. 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 $185.35 to $186.31. 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。
- F9
The transaction was executed in multiple trades at prices ranging from $186.50 to $187.47. 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 $187.51 to $188.50. 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 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 $188.51 to $189.48. 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 $189.54 to $190.48. 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 $190.56 to $191.55. 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 $191.60 to $192.59. 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。
- F15
The transaction was executed in multiple trades at prices ranging from $192.60 to $193.58. 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。
- F16
The transaction was executed in multiple trades at prices ranging from $193.60 to $193.80. 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。
- F17
The transaction was executed in multiple trades at prices ranging from $195.37 to $196.36. 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。
- F18
The transaction was executed in multiple trades at prices ranging from $196.50 to $197.49. 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。
- F19
The transaction was executed in multiple trades at prices ranging from $197.50 to $198.245. 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。
- F20
The transaction was executed in multiple trades at prices ranging from $198.67 to $199.53. 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。
- F21
The transaction was executed in multiple trades at prices ranging from $199.99 to $200.54. 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。
- F22
The transaction was executed in multiple trades at prices ranging from $201.00 to $201.34. 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。
- F23
The transaction was executed in multiple trades at prices ranging from $202.19 to $203.14. 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。
- F24
The transaction was executed in multiple trades at prices ranging from $203.26 to $204.19. 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。
- F25
The transaction was executed in multiple trades at prices ranging from $204.27 to $205.20. 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。
- F26
The transaction was executed in multiple trades at prices ranging from $205.25 to $205.99. 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。
- F27
The transaction was executed in multiple trades at prices ranging from $206.84 to $206.94. 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。