Form 4 for AXON Axon Enterprise
Accepted 2021-11-19 00:00:00 ET · period of report 2021-11-17 · accession 0001415889-21-005330 · 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 | 2021-11-19 | 2021-11-17+ | AXON | SMITH PATRICK W | CEO, Dir | M - OptEx | $181.53 | +224.6K | 2.28M | +11% | +$40.78M |
| DM | 2021-11-19 | 2021-11-17+ | AXON | SMITH PATRICK W | CEO, Dir | S - Sale+OE | $181.61 | -137.3K | 2.26M | -6% | -$24.93M |
| DM | 2021-11-19 | 2021-11-17 | AXON | SMITH PATRICK W | CEO, Dir | A - Grant | $0.00 | +1.06M | 1.21M | +700% | $0 |
| DM | 2021-11-19 | 2021-11-17+ | AXON | SMITH PATRICK W | CEO, Dir | M - OptEx | $0.00 | -224.6K | 682.0K | -25% | $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 | 2021-11-18 | M | A | 11,982 | $174.43 | 2,077,954 | D | — | — | |
| 2 | Common | Common Stock | 2021-11-17 | S | D | 80 | $180.00 | 2,065,972 | D | — | — | |
| 3 | Common | Common Stock | 2021-11-17 | S | D | 20 | $180.00 | 2,066,052 | D | — | — | |
| 4 | Common | Common Stock | 2021-11-17 | M | A | 167 | $172.89 | 2,066,072 | D | — | — | |
| 5 | Common | Common Stock | 2021-11-18 | S | D | 5,790 | $180.16 | 2,070,717 | D | — | — | (F3) 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. |
| 6 | Common | Common Stock | 2021-11-18 | S | D | 1,447 | $180.16 | 2,076,507 | D | — | — | (F3) 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 | 2021-11-19 | S | D | 57,210 | $181.59 | 2,200,012 | D | — | — | (F5) 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. |
| 8 | Common | Common Stock | 2021-11-19 | M | A | 212,491 | $181.94 | 2,283,208 | D | — | — | |
| 9 | Common | Common Stock | 2021-11-19 | S | D | 23,879 | $180.51 | 2,259,329 | D | — | — | (F4) The transaction was executed in multiple trades at prices ranging from $180.00 to $180.97. 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 | 2021-11-19 | S | D | 3,380 | $183.11 | 2,153,278 | D | — | — | (F7) The transaction was executed in multiple trades at prices ranging from $183.00 to $183.40. 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 | 2021-11-19 | S | D | 43,354 | $182.38 | 2,156,658 | D | — | — | (F6) The transaction was executed in multiple trades at prices ranging from $182.00 to $182.96. 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. |
| 12 | Common | Common Stock | 2021-11-19 | S | D | 2,107 | $181.59 | 2,257,222 | D | — | — | (F5) 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. |
| 13 | Derivative | Employee Stock Option | 2021-11-17 | A | A | 530,488 | $0.00 | 1,743,008 | D | $28.58 · 2021-11-16 to 2028-02-28 | 530,488 Common Stock | |
| 14 | Derivative | Employee Stock Option | 2021-11-19 | M | D | 212,491 | $0.00 | 1,518,535 | D | $28.58 · 2021-06-30 to 2028-02-28 | 212,491 Common Stock | |
| 15 | Derivative | Employee Stock Option | 2021-11-18 | M | D | 11,982 | $0.00 | 1,731,026 | D | $28.58 · 2021-06-30 to 2028-02-28 | 11,982 Common Stock | |
| 16 | Derivative | Employee Stock Option | 2021-11-17 | M | D | 167 | $0.00 | 682,032 | D | $28.58 · 2021-06-30 to 2028-02-28 | 167 Common Stock | |
| 17 | Derivative | Employee Stock Option | 2021-11-17 | A | A | 530,488 | $0.00 | 1,212,520 | D | $28.58 · 2021-09-30 to 2028-02-28 | 530,488 Common Stock |