Form 4 for AXON Axon Enterprise
Accepted 2021-11-02 00:00:00 ET · period of report 2021-10-29 · accession 0001415889-21-005044 · 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 | 2021-11-02 | 2021-10-29+ | AXON | SMITH PATRICK W | CEO, Dir | S - Sale+OE | $180.80 | -95.2K | 674.5K | -12% | -$17.22M |
| DM | 2021-11-02 | 2021-10-29+ | AXON | SMITH PATRICK W | CEO, Dir | M - OptEx | $181.01 | +155.6K | 631.2K | +33% | +$28.17M |
| DM | 2021-11-02 | 2021-10-29+ | AXON | SMITH PATRICK W | CEO, Dir | M - OptEx | $0.00 | -155.6K | 3.66M | -4% | $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 | 2021-11-01 | S | D | 5,034 | $182.25 | 659,419 | D | — | — | (F6) The transaction was executed in multiple trades at prices ranging from $182.00 to $182.69. 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 | 2021-11-02 | M | A | 62,349 | $181.60 | 721,768 | D | — | — | |
| 3 | Common | Common Stock | 2021-11-01 | S | D | 10,008 | $181.45 | 664,453 | D | — | — | (F5) The transaction was executed in multiple trades at prices ranging from $181.00 to $181.94. 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. |
| 4 | Common | Common Stock | 2021-11-01 | S | D | 10,423 | $180.47 | 701,113 | D | — | — | (F4) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.99. 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. |
| 5 | Common | Common Stock | 2021-11-01 | M | A | 85,234 | $180.67 | 711,536 | D | — | — | |
| 6 | Common | Common Stock | 2021-10-29 | S | D | 3,942 | $180.11 | 626,302 | D | — | — | (F2) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.50. 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. |
| 7 | Common | Common Stock | 2021-10-29 | S | D | 985 | $180.11 | 630,244 | D | — | — | (F2) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.50. 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 | 2021-10-29 | M | A | 8,052 | $179.96 | 631,229 | D | — | — | |
| 9 | Common | Common Stock | 2021-11-02 | S | D | 17,239 | $181.41 | 683,564 | D | — | — | (F7) The transaction was executed in multiple trades at prices ranging from $181.00 to $181.88. 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 | 2021-11-02 | S | D | 13,324 | $180.37 | 700,803 | D | — | — | (F4) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.99. 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. |
| 11 | Common | Common Stock | 2021-11-02 | S | D | 7,641 | $180.37 | 714,127 | D | — | — | (F4) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.99. 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. |
| 12 | Common | Common Stock | 2021-11-01 | S | D | 26,652 | $180.47 | 674,461 | D | — | — | (F4) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.99. 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. |
| 13 | Derivative | Employee Stock Option | 2021-11-02 | M | D | 62,349 | $0.00 | 3,593,160 | D | $28.58 · 2021-03-31 to 2028-02-28 | 62,349 Common Stock | |
| 14 | Derivative | Employee Stock Option | 2021-11-01 | M | D | 27,327 | $0.00 | 3,713,416 | D | $28.58 · 2020-12-31 to 2028-02-28 | 27,327 Common Stock | |
| 15 | Derivative | Employee Stock Option | 2021-10-29 | M | D | 8,052 | $0.00 | 3,740,743 | D | $28.58 · 2020-12-31 to 2028-02-28 | 8,052 Common Stock | |
| 16 | Derivative | Employee Stock Option | 2021-11-01 | M | D | 57,907 | $0.00 | 3,655,509 | D | $28.58 · 2021-03-31 to 2028-02-28 | 57,907 Common Stock |