Form 4 for AXON Axon Enterprise
Accepted 2021-10-21 00:00:00 ET · period of report 2021-10-19 · accession 0001415889-21-004938 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-10-21 | 2021-10-19+ | AXON | SMITH PATRICK W | CEO, Dir | S - Sale+OE | $183.07 | -138.7K | 529.0K | -21% | -$25.39M |
| DM | 2021-10-21 | 2021-10-19+ | AXON | SMITH PATRICK W | CEO, Dir | M - OptEx | $183.97 | +226.8K | 534.8K | +74% | +$41.72M |
| DM | 2021-10-21 | 2021-10-19+ | AXON | SMITH PATRICK W | CEO, Dir | M - OptEx | $0.00 | -226.8K | 4.07M | -5% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-10-20 | S | D | 1,515 | $182.41 | 510,737 | D | — | — | (F10) The transaction was executed in multiple trades at prices ranging from $182.05 to $183.01. 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. |
| 2 | Common | Common Stock | 2021-10-20 | S | D | 5,962 | $183.62 | 504,775 | D | — | — | (F11) The transaction was executed in multiple trades at prices ranging from $183.09 to $184.08. 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. |
| 3 | Common | Common Stock | 2021-10-20 | S | D | 4,176 | $184.38 | 500,599 | D | — | — | (F12) The transaction was executed in multiple trades at prices ranging from $184.09 to $184.89. 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. |
| 4 | Common | Common Stock | 2021-10-20 | S | D | 1,600 | $185.81 | 498,999 | D | — | — | (F13) The transaction was executed in multiple trades at prices ranging from $185.51 to $186.49. 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. |
| 5 | Common | Common Stock | 2021-10-20 | S | D | 300 | $186.91 | 498,699 | D | — | — | (F14) The transaction was executed in multiple trades at prices ranging from $186.51 to $187.12. 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. |
| 6 | Common | Common Stock | 2021-10-21 | M | A | 109,080 | $184.60 | 607,779 | D | — | — | |
| 7 | Common | Common Stock | 2021-10-21 | S | D | 13,399 | $180.40 | 594,380 | D | — | — | (F15) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.96. 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. |
| 8 | Common | Common Stock | 2021-10-21 | S | D | 13,239 | $180.40 | 581,141 | D | — | — | (F15) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.96. 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. |
| 9 | Common | Common Stock | 2021-10-21 | S | D | 3,152 | $181.68 | 577,989 | D | — | — | (F16) The transaction was executed in multiple trades at prices ranging from $181.01 to $182.00. 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. |
| 10 | Common | Common Stock | 2021-10-21 | S | D | 16,236 | $182.34 | 561,753 | D | — | — | (F17) The transaction was executed in multiple trades at prices ranging from $182.01 to $182.83. 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. |
| 11 | Common | Common Stock | 2021-10-21 | S | D | 8,031 | $183.75 | 553,722 | D | — | — | (F18) The transaction was executed in multiple trades at prices ranging from $183.02 to $184.00. 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. |
| 12 | Common | Common Stock | 2021-10-21 | S | D | 12,367 | $184.63 | 541,355 | D | — | — | (F19) The transaction was executed in multiple trades at prices ranging from $184.025 to $185.02. 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. |
| 13 | Common | Common Stock | 2021-10-21 | S | D | 571 | $185.20 | 540,784 | D | — | — | (F20) The transaction was executed in multiple trades at prices ranging from $185.10 to $185.33. 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. |
| 14 | Common | Common Stock | 2021-10-20 | S | D | 2,000 | $181.30 | 512,252 | D | — | — | (F9) The transaction was executed in multiple trades at prices ranging from $181.04 to $182.01. 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. |
| 15 | Common | Common Stock | 2021-10-20 | S | D | 1,689 | $180.20 | 514,252 | D | — | — | (F8) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.58. 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. |
| 16 | Common | Common Stock | 2021-10-20 | S | D | 4,311 | $180.20 | 515,941 | D | — | — | (F8) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.58. 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. |
| 17 | Common | Common Stock | 2021-10-19 | S | D | 6,946 | $183.66 | 522,009 | D | — | — | (F4) The transaction was executed in multiple trades at prices ranging from $183.14 to $184.13. 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. |
| 18 | Common | Common Stock | 2021-10-19 | S | D | 10,026 | $185.35 | 484,648 | D | — | — | (F6) The transaction was executed in multiple trades at prices ranging from $185.14 to $185.64. 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. |
| 19 | Common | Common Stock | 2021-10-20 | M | A | 35,604 | $179.05 | 520,252 | D | — | — | |
| 20 | Common | Common Stock | 2021-10-19 | S | D | 20,619 | $184.64 | 501,390 | D | — | — | (F5) The transaction was executed in multiple trades at prices ranging from $184.14 to $185.13. 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. |
| 21 | Common | Common Stock | 2021-10-19 | S | D | 6,716 | $185.35 | 494,674 | D | — | — | (F6) The transaction was executed in multiple trades at prices ranging from $185.14 to $185.64. 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. |
| 22 | Common | Common Stock | 2021-10-19 | M | A | 82,110 | $185.27 | 534,776 | D | — | — | |
| 23 | Common | Common Stock | 2021-10-19 | S | D | 2,700 | $181.46 | 532,076 | D | — | — | (F2) The transaction was executed in multiple trades at prices ranging from $180.87 to $181.73. 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. |
| 24 | Common | Common Stock | 2021-10-19 | S | D | 3,121 | $182.45 | 528,955 | D | — | — | (F3) The transaction was executed in multiple trades at prices ranging from $182.09 to $183.06. 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. |
| 25 | Derivative | Employee Stock Option | 2021-10-19 | M | D | 82,110 | $0.00 | 4,104,869 | D | $28.58 · 2020-12-31 to 2028-02-28 | 82,110 Common Stock | |
| 26 | Derivative | Employee Stock Option | 2021-10-21 | M | D | 109,080 | $0.00 | 3,960,185 | D | $28.58 · 2020-12-31 to 2028-02-28 | 109,080 Common Stock | |
| 27 | Derivative | Employee Stock Option | 2021-10-20 | M | D | 35,604 | $0.00 | 4,069,265 | D | $28.58 · 2020-12-31 to 2028-02-28 | 35,604 Common Stock |