Form 4 for AXON Axon Enterprise
Accepted 2021-11-17 00:00:00 ET · period of report 2021-11-15 · accession 0001415889-21-005283 · 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 | 2021-11-17 | 2021-11-16 | AXON | SMITH PATRICK W | CEO, Dir | S - Sale+OE | $186.25 | -330.0K | 2.07M | -14% | -$61.46M |
| DM | 2021-11-17 | 2021-11-15+ | AXON | SMITH PATRICK W | CEO, Dir | M - OptEx | $170.95 | +1.62M | 1.84M | +729% | +$277.01M |
| DM | 2021-11-17 | 2021-11-15+ | AXON | SMITH PATRICK W | CEO, Dir | M - OptEx | $0.00 | -2.68M | 2.65M | -50% | $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 | 2021-11-16 | S | D | 9,431 | $192.08 | 2,134,089 | D | — | — | (F14) The transaction was executed in multiple trades at prices ranging from $191.60 to $192.59. 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 | 2021-11-16 | M | A | 553,130 | $177.79 | 2,395,857 | D | — | — | |
| 3 | Common | Common Stock | 2021-11-15 | M | A | 1,067,255 | $167.41 | 1,842,727 | D | — | — | |
| 4 | Common | Common Stock | 2021-11-16 | S | D | 3,000 | $206.87 | 2,065,905 | D | — | — | (F27) The transaction was executed in multiple trades at prices ranging from $206.84 to $206.94. 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. |
| 5 | Common | Common Stock | 2021-11-16 | S | D | 73,652 | $180.26 | 2,256,215 | D | — | — | (F2) 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. |
| 6 | Common | Common Stock | 2021-11-16 | S | D | 35,854 | $181.37 | 2,220,361 | D | — | — | (F4) The transaction was executed in multiple trades at prices ranging from $181.00 to $181.99. 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. |
| 7 | Common | Common Stock | 2021-11-16 | S | D | 11,333 | $182.33 | 2,209,028 | D | — | — | (F5) The transaction was executed in multiple trades at prices ranging from $182.00 to $182.88. 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. |
| 8 | Common | Common Stock | 2021-11-16 | S | D | 9,959 | $183.37 | 2,199,069 | D | — | — | (F6) The transaction was executed in multiple trades at prices ranging from $183.00 to $183.90. 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 | 2021-11-16 | S | D | 858 | $184.07 | 2,198,211 | D | — | — | (F7) The transaction was executed in multiple trades at prices ranging from $184.00 to $184.72. 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. |
| 10 | Common | Common Stock | 2021-11-16 | S | D | 800 | $185.71 | 2,197,411 | D | — | — | (F8) The transaction was executed in multiple trades at prices ranging from $185.35 to $186.31. 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 | 2021-11-16 | S | D | 10,456 | $186.99 | 2,186,955 | D | — | — | (F9) The transaction was executed in multiple trades at prices ranging from $186.50 to $187.47. 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 | 2021-11-16 | S | D | 6,576 | $188.03 | 2,180,379 | D | — | — | (F10) The transaction was executed in multiple trades at prices ranging from $187.51 to $188.50. 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. |
| 13 | Common | Common Stock | 2021-11-16 | S | D | 17,668 | $188.92 | 2,162,711 | D | — | — | (F11) The transaction was executed in multiple trades at prices ranging from $188.51 to $189.48. 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 | 2021-11-16 | S | D | 11,956 | $190.09 | 2,150,755 | D | — | — | (F12) The transaction was executed in multiple trades at prices ranging from $189.54 to $190.48. 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 | 2021-11-16 | S | D | 7,235 | $191.25 | 2,143,520 | D | — | — | (F13) The transaction was executed in multiple trades at prices ranging from $190.56 to $191.55. 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 | 2021-11-16 | S | D | 65,990 | $180.26 | 2,329,867 | D | — | — | (F2) 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. |
| 17 | Common | Common Stock | 2021-11-16 | S | D | 10,371 | $193.07 | 2,123,718 | D | — | — | (F15) The transaction was executed in multiple trades at prices ranging from $192.60 to $193.58. 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. |
| 18 | Common | Common Stock | 2021-11-16 | S | D | 422 | $193.75 | 2,123,296 | D | — | — | (F16) The transaction was executed in multiple trades at prices ranging from $193.60 to $193.80. 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 | 2021-11-16 | S | D | 7,585 | $195.68 | 2,115,711 | D | — | — | (F17) The transaction was executed in multiple trades at prices ranging from $195.37 to $196.36. 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. |
| 20 | Common | Common Stock | 2021-11-16 | S | D | 8,032 | $196.95 | 2,107,679 | D | — | — | (F18) The transaction was executed in multiple trades at prices ranging from $196.50 to $197.49. 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. |
| 21 | Common | Common Stock | 2021-11-16 | S | D | 4,759 | $197.91 | 2,102,920 | D | — | — | (F19) The transaction was executed in multiple trades at prices ranging from $197.50 to $198.245. 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 | 2021-11-16 | S | D | 4,222 | $198.80 | 2,098,698 | D | — | — | (F20) The transaction was executed in multiple trades at prices ranging from $198.67 to $199.53. 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. |
| 23 | Common | Common Stock | 2021-11-16 | S | D | 10,192 | $199.99 | 2,088,506 | D | — | — | (F21) The transaction was executed in multiple trades at prices ranging from $199.99 to $200.54. 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 | 2021-11-16 | S | D | 1,000 | $201.09 | 2,087,506 | D | — | — | (F22) The transaction was executed in multiple trades at prices ranging from $201.00 to $201.34. 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 | Common | Common Stock | 2021-11-16 | S | D | 5,979 | $202.47 | 2,081,527 | D | — | — | (F23) The transaction was executed in multiple trades at prices ranging from $202.19 to $203.14. 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. |
| 26 | Common | Common Stock | 2021-11-16 | S | D | 5,741 | $203.76 | 2,075,786 | D | — | — | (F24) The transaction was executed in multiple trades at prices ranging from $203.26 to $204.19. 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. |
| 27 | Common | Common Stock | 2021-11-16 | S | D | 3,556 | $204.80 | 2,072,230 | D | — | — | (F25) The transaction was executed in multiple trades at prices ranging from $204.27 to $205.20. 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. |
| 28 | Common | Common Stock | 2021-11-16 | S | D | 3,325 | $205.67 | 2,068,905 | D | — | — | (F26) The transaction was executed in multiple trades at prices ranging from $205.25 to $205.99. 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. |
| 29 | Derivative | Employee Stock Option | 2021-11-15 | M | D | 174,353 | $0.00 | 3,182,928 | D | $28.58 · 2021-03-31 to 2028-02-28 | 174,353 Common Stock | |
| 30 | Derivative | Employee Stock Option | 2021-11-15 | M | D | 1,417,111 | $0.00 | 1,235,329 | D | $28.58 · 2021-06-30 to 2028-02-28 | 1,417,111 Common Stock | |
| 31 | Derivative | Employee Stock Option | 2021-11-16 | M | D | 553,130 | $0.00 | 682,199 | D | $28.58 · 2021-06-30 to 2028-02-28 | 553,130 Common Stock | |
| 32 | Derivative | Employee Stock Option | 2021-11-15 | M | D | 530,488 | $0.00 | 2,652,440 | D | $28.58 · 2021-03-31 to 2028-02-28 | 530,488 Common Stock |