Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2023/1/19 申報
- 申報編號
- 0001415889-23-001242
- 申報時間
- 2023/1/19
- 交易日
- 2023/1/17-1/19
- 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 15 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $2,029 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/1/17 | Common Stock | M行使選擇權取得 | +117,753 | $184.47 | +$21,721,895.91 | 2,326,233 | 直接 | |
| 2023/1/17 | Common Stock | S賣出處分 | −54,057 | $185.35F2 | −$10,019,464.95 | 2,272,176 | 直接 | |
| 2023/1/17 | Common Stock | S賣出處分 | −3,142 | $186.47F3 | −$585,888.74 | 2,269,034 | 直接 | |
| 2023/1/17 | Common Stock | S賣出處分 | −5,638 | $186.47F3 | −$1,051,317.86 | 2,263,396 | 直接 | |
| 2023/1/17 | Common Stock | S賣出處分 | −6,262 | $187.47F5 | −$1,173,937.14 | 2,257,134 | 直接 | |
| 2023/1/17 | Common Stock | S賣出處分 | −2,400 | $188.31F6 | −$451,944 | 2,254,734 | 直接 | |
| 2023/1/18 | Common Stock | M行使選擇權取得 | +60,229 | $182.27 | +$10,977,939.83 | 2,314,963 | 直接 | |
| 2023/1/18 | Common Stock | S賣出處分 | −9,336 | $185.46F2 | −$1,731,454.56 | 2,305,627 | 直接 | |
| 2023/1/18 | Common Stock | S賣出處分 | −6,336 | $186.60F7 | −$1,182,297.6 | 2,299,291 | 直接 | |
| 2023/1/18 | Common Stock | S賣出處分 | −13,314 | $187.44F8 | −$2,495,576.16 | 2,285,977 | 直接 | |
| 2023/1/18 | Common Stock | S賣出處分 | −4,447 | $187.44F8 | −$833,545.68 | 2,281,530 | 直接 | |
| 2023/1/18 | Common Stock | S賣出處分 | −2,800 | $188.28F9 | −$527,184 | 2,278,730 | 直接 | |
| 2023/1/19 | Common Stock | M行使選擇權取得 | +2,140 | $184.06 | +$393,888.4 | 2,280,870 | 直接 | |
| 2023/1/19 | Common Stock | S賣出處分 | −1,040 | $185.06F10 | −$192,462.4 | 2,279,830 | 直接 | |
| 2023/1/19 | Common Stock | S賣出處分 | −260 | $185.06F10 | −$48,115.6 | 2,279,570 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/1/17 | Common Stock | M行使選擇權處分 | −117,753 | $0.00 | $0 | 1,259,228 | 直接 | |
| 2023/1/18 | Common Stock | M行使選擇權處分 | −60,229 | $0.00 | $0 | 1,198,999 | 直接 | |
| 2023/1/19 | Common Stock | M行使選擇權處分 | −2,140 | $0.00 | $0 | 1,196,859 | 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 $185.00 to $185.98. 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 $186.00 to $186.96. 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 2 筆交易的價格引用這則附註。
- F5
The transaction was executed in multiple trades at prices ranging from $187.00 to $187.99. 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。
- F6
The transaction was executed in multiple trades at prices ranging from $188.15 to $189.00. 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。
- F7
The transaction was executed in multiple trades at prices ranging from $186.00 to $186.93. 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 $187.01 to $187.94. 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 2 筆交易的價格引用這則附註。
- F9
The transaction was executed in multiple trades at prices ranging from $188.05 to $188.56. 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 $185.00 to $185.24. 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。