Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2021/11/29 申報
- 申報編號
- 0001415889-21-005557
- 申報時間
- 2021/11/29
- 交易日
- 2021/11/24-11/29
- 申報延遲
- 5 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 9 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $1,413 萬。交易後 5 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/24 | Common Stock | M行使選擇權取得 | +56,619 | $179.86 | +$10,183,493.34 | 2,209,897 | 直接 | |
| 2021/11/24 | Common Stock | S賣出處分 | −27,718 | $180.05F2 | −$4,990,625.9 | 2,182,179 | 直接 | |
| 2021/11/24 | Common Stock | S賣出處分 | −6,930 | $180.05F2 | −$1,247,746.5 | 2,175,249 | 直接 | |
| 2021/11/26 | Common Stock | M行使選擇權取得 | +7,457 | $177.20 | +$1,321,380.4 | 2,182,706 | 直接 | |
| 2021/11/26 | Common Stock | S賣出處分 | −3,628 | $180.07F3 | −$653,293.96 | 2,179,078 | 直接 | |
| 2021/11/26 | Common Stock | S賣出處分 | −907 | $180.07F3 | −$163,323.49 | 2,178,171 | 直接 | |
| 2021/11/29 | Common Stock | M行使選擇權取得 | +64,245 | $179.75 | +$11,548,038.75 | 2,242,416 | 直接 | |
| 2021/11/29 | Common Stock | S賣出處分 | −31,433 | $180.15F4 | −$5,662,654.95 | 2,210,983 | 直接 | |
| 2021/11/29 | Common Stock | S賣出處分 | −7,858 | $180.15F4 | −$1,415,618.7 | 2,203,125 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2021/11/24 | Common Stock | M行使選擇權處分 | −56,619 | $0.00 | $0 | 1,461,916 | 直接 | |
| 2021/11/26 | Common Stock | M行使選擇權處分 | −7,457 | $0.00 | $0 | 1,454,459 | 直接 | |
| 2021/11/29 | Common Stock | M行使選擇權處分 | −64,245 | $0.00 | $0 | 1,390,214 | 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 $180.26. 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。
- F3
The transaction was executed in multiple trades at prices ranging from $180.00 to $180.15. 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 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 $180.67. 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。