AI assistant
AXON ENTERPRISE, INC. — Director's Dealing 2021
Nov 6, 2021
29987_dirs_2021-11-05_1351fc14-738f-499d-b927-7d55c0b06e2d.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AXON ENTERPRISE, INC. (AXON)
CIK: 0001069183
Period of Report: 2021-11-03
Reporting Person: SMITH PATRICK W (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-03 | Common Stock | M | 81765 | $184.91 | Acquired | 765329 | Direct |
| 2021-11-03 | Common Stock | S | 6965 | $181.7850 | Disposed | 758364 | Direct |
| 2021-11-03 | Common Stock | S | 15446 | $182.6058 | Disposed | 742918 | Direct |
| 2021-11-03 | Common Stock | S | 9151 | $183.6522 | Disposed | 733767 | Direct |
| 2021-11-03 | Common Stock | S | 8474 | $184.5804 | Disposed | 725293 | Direct |
| 2021-11-03 | Common Stock | S | 10009 | $184.5804 | Disposed | 715284 | Direct |
| 2021-11-04 | Common Stock | M | 63260 | $184.54 | Acquired | 778544 | Direct |
| 2021-11-04 | Common Stock | S | 7710 | $183.5005 | Disposed | 770834 | Direct |
| 2021-11-04 | Common Stock | S | 3039 | $183.5005 | Disposed | 767795 | Direct |
| 2021-11-04 | Common Stock | S | 17819 | $184.1525 | Disposed | 749976 | Direct |
| 2021-11-04 | Common Stock | S | 1622 | $185.0249 | Disposed | 748354 | Direct |
| 2021-11-04 | Common Stock | S | 6840 | $186.1792 | Disposed | 741514 | Direct |
| 2021-11-04 | Common Stock | S | 1520 | $187.1248 | Disposed | 739994 | Direct |
| 2021-11-05 | Common Stock | M | 87198 | $182.64 | Acquired | 827192 | Direct |
| 2021-11-05 | Common Stock | S | 10632 | $182.3750 | Disposed | 816560 | Direct |
| 2021-11-05 | Common Stock | S | 6817 | $182.3750 | Disposed | 809743 | Direct |
| 2021-11-05 | Common Stock | S | 30642 | $183.3309 | Disposed | 779101 | Direct |
| 2021-11-05 | Common Stock | S | 5069 | $183.8371 | Disposed | 774032 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-03 | Employee Stock Option | $28.58 | M | 81765 | Disposed | 2028-02-28 | Common Stock (81765) | Direct |
| 2021-11-04 | Employee Stock Option | $28.58 | M | 63260 | Disposed | 2028-02-28 | Common Stock (63260) | Direct |
| 2021-11-05 | Employee Stock Option | $28.58 | M | 87198 | Disposed | 2028-02-28 | Common Stock (87198) | Direct |
Footnotes
F1: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.
F2: The transaction was executed in multiple trades at prices ranging from $181.19 to $182.18. 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.
F3: The transaction was executed in multiple trades at prices ranging from $182.19 to $183.15. 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.
F4: The transaction was executed in multiple trades at prices ranging from $183.20 to $184.18. 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.
F5: The transaction was executed in multiple trades at prices ranging from $184.20 to $185.00. 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.
F6: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.
F7: The transaction was executed in multiple trades at prices ranging from $182.88 to $183.87. 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.
F8: The transaction was executed in multiple trades at prices ranging from $183.89 to $184.83. 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.
F9: The transaction was executed in multiple trades at prices ranging from $184.91 to $185.06. 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.
F10: The transaction was executed in multiple trades at prices ranging from $185.96 to $186.95. 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.
F11: The transaction was executed in multiple trades at prices ranging from $186.96 to $187.31. 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.
F12: The transaction was executed in multiple trades at prices ranging from $181.78 to $182.77. 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.
F13: The transaction was executed in multiple trades at prices ranging from $182.78 to $183.775. 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.
F14: The transaction was executed in multiple trades at prices ranging from $183.78 to $184.01. 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.