Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2023/3/28 申報
- 申報編號
- 0001415889-23-005537
- 申報時間
- 2023/3/28
- 交易日
- 2023/3/24-3/28
- 申報延遲
- 4 天
- 10b5-1 計畫
- 有勾選
這份申報列了 13 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $1,591 萬。交易後 4 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/3/27 | Common Stock | M行使選擇權取得 | +57,863 | $218.59 | +$12,648,273.17 | 2,806,019 | 直接 | |
| 2023/3/27 | Common Stock | S賣出處分 | −5,408 | $216.52F3 | −$1,170,940.16 | 2,800,611 | 直接 | |
| 2023/3/27 | Common Stock | S賣出處分 | −16,993 | $217.55F4 | −$3,696,827.15 | 2,783,618 | 直接 | |
| 2023/3/27 | Common Stock | S賣出處分 | −5,019 | $218.36F5 | −$1,095,948.84 | 2,778,599 | 直接 | |
| 2023/3/27 | Common Stock | S賣出處分 | −4,157 | $218.36F5 | −$907,722.52 | 2,774,442 | 直接 | |
| 2023/3/27 | Common Stock | S賣出處分 | −2,270 | $219.47F7 | −$498,196.9 | 2,772,172 | 直接 | |
| 2023/3/27 | Common Stock | S賣出處分 | −428 | $220.14F8 | −$94,219.92 | 2,771,744 | 直接 | |
| 2023/3/28 | Common Stock | M行使選擇權取得 | +66,076 | $215.60 | +$14,245,985.6 | 2,837,820 | 直接 | |
| 2023/3/28 | Common Stock | S賣出處分 | −27,963 | $215.40F9 | −$6,023,230.2 | 2,809,857 | 直接 | |
| 2023/3/28 | Common Stock | S賣出處分 | −3,332 | $216.07F10 | −$719,945.24 | 2,806,525 | 直接 | |
| 2023/3/28 | Common Stock | S賣出處分 | −1,742 | $216.07F10 | −$376,393.94 | 2,804,783 | 直接 | |
| 2023/3/28 | Common Stock | S賣出處分 | −4,689 | $217.29F11 | −$1,018,872.81 | 2,800,094 | 直接 | |
| 2023/3/28 | Common Stock | S賣出處分 | −1,393 | $218.09F12 | −$303,799.37 | 2,798,701 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/3/24 | Common Stock | A公司授予取得 | +530,488 | $0.00 | $0 | 536,547 | 直接 | |
| 2023/3/27 | Common Stock | M行使選擇權處分 | −6,059 | $0.00 | $0 | 530,488 | 直接 | |
| 2023/3/27 | Common Stock | M行使選擇權處分 | −51,804 | $0.00 | $0 | 478,684 | 直接 | |
| 2023/3/28 | Common Stock | M行使選擇權處分 | −66,076 | $0.00 | $0 | 412,608 | 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 $215.90 to $216.89. 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。
- F4
The transaction was executed in multiple trades at prices ranging from $216.90 to $217.89. 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 $217.90 to $218.89. 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。
- F7
The transaction was executed in multiple trades at prices ranging from $218.90 to $219.68. 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 $219.93 to $220.36. 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。
- F9
The transaction was executed in multiple trades at prices ranging from $214.78 to $215.77. 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 $215.78 to $216.67. 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。
- F11
The transaction was executed in multiple trades at prices ranging from $216.78 to $217.76. 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 $217.81 to $218.72. 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。