Smith Patrick W 的 Form 4 申報
Axon Enterprise, Inc.（AXON），2023/3/31 申報
- 申報編號
- 0001415889-23-005711
- 申報時間
- 2023/3/31
- 交易日
- 2023/3/29-3/31
- 申報延遲
- 2 天
- 10b5-1 計畫
- 有勾選
這份申報列了 19 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $4,906 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/3/29 | Common Stock | M行使選擇權取得 | +116,135 | $216.83 | +$25,181,552.05 | 2,914,836 | 直接 | |
| 2023/3/29 | Common Stock | S賣出處分 | −54,913 | $217.28 | −$11,931,496.64 | 2,859,923 | 直接 | |
| 2023/3/29 | Common Stock | S賣出處分 | −13,728 | $217.28 | −$2,982,819.84 | 2,846,195 | 直接 | |
| 2023/3/30 | Common Stock | M行使選擇權取得 | +90,259 | $217.70 | +$19,649,384.3 | 2,936,454 | 直接 | |
| 2023/3/30 | Common Stock | S賣出處分 | −20,963 | $216.81F4 | −$4,544,988.03 | 2,915,491 | 直接 | |
| 2023/3/30 | Common Stock | S賣出處分 | −21,782 | $217.66F5 | −$4,741,070.12 | 2,893,709 | 直接 | |
| 2023/3/30 | Common Stock | S賣出處分 | −9,363 | $217.66F5 | −$2,037,950.58 | 2,884,346 | 直接 | |
| 2023/3/30 | Common Stock | S賣出處分 | −820 | $218.37F6 | −$179,063.4 | 2,883,526 | 直接 | |
| 2023/3/30 | Common Stock | S賣出處分 | −503 | $219.30 | −$110,307.9 | 2,883,023 | 直接 | |
| 2023/3/31 | Common Stock | M行使選擇權取得 | +200,280 | $224.85 | +$45,032,958 | 3,083,303 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −1,952 | $219.49F7 | −$428,444.48 | 3,081,351 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −891 | $221.31F8 | −$197,187.21 | 3,080,460 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −17,620 | $222.05F9 | −$3,912,521 | 3,062,840 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −15,239 | $223.13F10 | −$3,400,278.07 | 3,047,601 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −9,547 | $224.26F11 | −$2,141,010.22 | 3,038,054 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −43,356 | $224.92F12 | −$9,751,631.52 | 2,994,698 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −5,832 | $226.16F13 | −$1,318,965.12 | 2,988,866 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −3,340 | $226.16F13 | −$755,374.4 | 2,985,526 | 直接 | |
| 2023/3/31 | Common Stock | S賣出處分 | −2,757 | $227.04F14 | −$625,949.28 | 2,982,769 | 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 |
|---|---|---|---|---|---|---|---|---|
| 2023/3/29 | Common Stock | M行使選擇權處分 | −116,135 | $0.00 | $0 | 296,473 | 直接 | |
| 2023/3/30 | Common Stock | M行使選擇權處分 | −90,259 | $0.00 | $0 | 206,214 | 直接 | |
| 2023/3/31 | Common Stock | M行使選擇權處分 | −200,280 | $0.00 | $0 | 5,934 | 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。
- F4
The transaction was executed in multiple trades at prices ranging from $216.25 to $217.24. 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 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 $217.25 to $218.22. 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 $218.25 to $219.07. 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 $218.88 to $219.87. 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 $220.62 to $221.61. 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 $221.62 to $222.61. 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 $222.63 to $223.62. 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 $223.64 to $224.63. 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 $224.64 to $225.56. 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。
- F13
The transaction was executed in multiple trades at prices ranging from $225.70 to $226.66. 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。
- F14
The transaction was executed in multiple trades at prices ranging from $226.72 to $227.57. 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。