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AXON ENTERPRISE, INC. — Director's Dealing 2021
Oct 27, 2021
29987_dirs_2021-10-26_cf193d82-1d6e-4222-8eac-f9a14ffc03ef.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AXON ENTERPRISE, INC. (AXON)
CIK: 0001069183
Period of Report: 2021-10-22
Reporting Person: SMITH PATRICK W (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-10-22 | Common Stock | M | 62716 | $182.65 | Acquired | 603500 | Direct |
| 2021-10-22 | Common Stock | S | 7680 | $180.4752 | Disposed | 595820 | Direct |
| 2021-10-22 | Common Stock | S | 337 | $180.4752 | Disposed | 595483 | Direct |
| 2021-10-22 | Common Stock | S | 15326 | $181.3831 | Disposed | 580157 | Direct |
| 2021-10-22 | Common Stock | S | 11830 | $182.4340 | Disposed | 568327 | Direct |
| 2021-10-22 | Common Stock | S | 1159 | $183.18 | Disposed | 567168 | Direct |
| 2021-10-22 | Common Stock | S | 1140 | $184.5806 | Disposed | 566028 | Direct |
| 2021-10-22 | Common Stock | S | 929 | $185.3146 | Disposed | 565099 | Direct |
| 2021-10-25 | Common Stock | M | 71420 | $179.8 | Acquired | 636519 | Direct |
| 2021-10-25 | Common Stock | S | 8695 | $180.5968 | Disposed | 627824 | Direct |
| 2021-10-25 | Common Stock | S | 8243 | $180.5968 | Disposed | 619581 | Direct |
| 2021-10-25 | Common Stock | S | 10343 | $181.2704 | Disposed | 609238 | Direct |
| 2021-10-25 | Common Stock | S | 11074 | $182.5813 | Disposed | 598164 | Direct |
| 2021-10-25 | Common Stock | S | 4921 | $183.1463 | Disposed | 593243 | Direct |
| 2021-10-25 | Common Stock | S | 200 | $184.67 | Disposed | 593043 | Direct |
| 2021-10-26 | Common Stock | M | 77254 | $180.20 | Acquired | 670297 | Direct |
| 2021-10-26 | Common Stock | S | 9424 | $180.3103 | Disposed | 660873 | Direct |
| 2021-10-26 | Common Stock | S | 14966 | $180.3103 | Disposed | 645907 | Direct |
| 2021-10-26 | Common Stock | S | 6368 | $181.296 | Disposed | 639539 | Direct |
| 2021-10-26 | Common Stock | S | 14862 | $182.6085 | Disposed | 624677 | Direct |
| 2021-10-26 | Common Stock | S | 1500 | $183.1834 | Disposed | 623177 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-10-22 | Employee Stock Option | $28.58 | M | 62716 | Disposed | 2028-02-28 | Common Stock (62716) | Direct |
| 2021-10-25 | Employee Stock Option | $28.58 | M | 71420 | Disposed | 2028-02-28 | Common Stock (71420) | Direct |
| 2021-10-26 | Employee Stock Option | $28.58 | M | 77254 | Disposed | 2028-02-28 | Common Stock (77254) | Direct |
Footnotes
F1: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.
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.
F3: 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.
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.
F5: The transaction was executed in multiple trades at prices ranging from $182.00 to $182.92. 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: The transaction was executed in multiple trades at prices ranging from $183.01 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.
F7: The transaction was executed in multiple trades at prices ranging from $184.11 to $185.05. 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 $185.13 to $185.94. 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.
F9: The transaction was executed in multiple trades at prices ranging from $181.00 to $181.98. 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 $182.00 to $182.99. 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.
F11: The transaction was executed in multiple trades at prices ranging from $183.00 to $183.83. 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.
F12: The transaction was executed in multiple trades at prices ranging from $181.00 to $181.91. 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 $182.00 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.
F14: The transaction was executed in multiple trades at prices ranging from $183.00 to $183.29. 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.