Statement of Changes in Beneficial Ownership (4)
11 November 2021 - 9:07AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SMITH PATRICK W |
2. Issuer Name and Ticker or Trading Symbol
AXON ENTERPRISE, INC.
[
AXON
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CHIEF EXECUTIVE OFFICER |
(Last)
(First)
(Middle)
17800 NORTH 85TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/8/2021 |
(Street)
SCOTTSDALE, AZ 85255
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/8/2021 | | M | | 3326 | A | $176.65 | 777358 | D | |
Common Stock | 11/8/2021 | | S(1) | | 403 | D | $180.1972 (2) | 776955 | D | |
Common Stock | 11/8/2021 | | S(3) | | 1013 | D | $180.1972 (2) | 775942 | D | |
Common Stock | 11/8/2021 | | S(3) | | 400 | D | $181.456 (4) | 775542 | D | |
Common Stock | 11/8/2021 | | S(3) | | 200 | D | $182.108 (5) | 775342 | D | |
Common Stock | 11/9/2021 | | M | | 330 | A | $176.4 | 775672 | D | |
Common Stock | 11/9/2021 | | S(1) | | 40 | D | $180.04 (6) | 775632 | D | |
Common Stock | 11/9/2021 | | S(3) | | 160 | D | $180.04 (6) | 775472 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option | $28.58 | 11/8/2021 | | M | | | 3326 | 3/31/2021 | 2/28/2028 | Common Stock | 3326 | $0 | 3357611 | D | |
Employee Stock Option | $28.58 | 11/9/2021 | | M | | | 330 | 3/31/2021 | 2/28/2028 | Common Stock | 330 | $0 | 3357281 | D | |
Explanation of Responses: |
(1) | This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. |
(2) | The transaction was executed in multiple trades at prices ranging from $180.00 to $180.24. 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. |
(3) | 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. |
(4) | The transaction was executed in multiple trades at prices ranging from $181.07 to $182.00. 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. |
(5) | The transaction was executed in multiple trades at prices ranging from $182.10 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. |
(6) | The transaction was executed in multiple trades at prices ranging from $180.02 to $180.06. 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
SMITH PATRICK W 17800 NORTH 85TH STREET SCOTTSDALE, AZ 85255 | X |
| CHIEF EXECUTIVE OFFICER |
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Signatures
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/s/ Patrick W. Smith, by Jawad A. Ahsan, Attorney-in-Fact | | 11/10/2021 |
**Signature of Reporting Person | Date |
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