Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2021/11/19 申報
- 申報編號
- 0001415889-21-005330
- 申報時間
- 2021/11/19
- 交易日
- 2021/11/17-11/19
- 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 12 筆非衍生性交易、5 筆衍生性交易。公開市場賣出合計 $2,493 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/17 | Common Stock | M行使選擇權取得 | +167 | $172.89 | +$28,872.63 | 2,066,072 | 直接 | |
| 2021/11/17 | Common Stock | S賣出處分 | −20 | $180.00 | −$3,600 | 2,066,052 | 直接 | |
| 2021/11/17 | Common Stock | S賣出處分 | −80 | $180.00 | −$14,400 | 2,065,972 | 直接 | |
| 2021/11/18 | Common Stock | M行使選擇權取得 | +11,982 | $174.43 | +$2,090,020.26 | 2,077,954 | 直接 | |
| 2021/11/18 | Common Stock | S賣出處分 | −1,447 | $180.16F3 | −$260,691.52 | 2,076,507 | 直接 | |
| 2021/11/18 | Common Stock | S賣出處分 | −5,790 | $180.16F3 | −$1,043,126.4 | 2,070,717 | 直接 | |
| 2021/11/19 | Common Stock | M行使選擇權取得 | +212,491 | $181.94 | +$38,660,612.54 | 2,283,208 | 直接 | |
| 2021/11/19 | Common Stock | S賣出處分 | −23,879 | $180.51F4 | −$4,310,398.29 | 2,259,329 | 直接 | |
| 2021/11/19 | Common Stock | S賣出處分 | −2,107 | $181.59F5 | −$382,610.13 | 2,257,222 | 直接 | |
| 2021/11/19 | Common Stock | S賣出處分 | −57,210 | $181.59F5 | −$10,388,763.9 | 2,200,012 | 直接 | |
| 2021/11/19 | Common Stock | S賣出處分 | −43,354 | $182.38F6 | −$7,906,902.52 | 2,156,658 | 直接 | |
| 2021/11/19 | Common Stock | S賣出處分 | −3,380 | $183.11F7 | −$618,911.8 | 2,153,278 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/17 | Common Stock | M行使選擇權處分 | −167 | $0.00 | $0 | 682,032 | 直接 | |
| 2021/11/17 | Common Stock | A公司授予取得 | +530,488 | $0.00 | $0 | 1,212,520 | 直接 | |
| 2021/11/17 | Common Stock | A公司授予取得 | +530,488 | $0.00 | $0 | 1,743,008 | 直接 | |
| 2021/11/18 | Common Stock | M行使選擇權處分 | −11,982 | $0.00 | $0 | 1,731,026 | 直接 | |
| 2021/11/19 | Common Stock | M行使選擇權處分 | −212,491 | $0.00 | $0 | 1,518,535 | 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。
- F3
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 $180.97. 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 $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 2 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 $182.96. 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。
- F7
The transaction was executed in multiple trades at prices ranging from $183.00 to $183.40. 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。