SEC Form 4 · accession 0001069183-16-000155
AXON ENTERPRISE, INC. · AXON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick W Smith
Officer — Chief Executive Officer · Director
Period of report
Mar 16, 2016
Accepted (ET)
Mar 17, 2016 · 5:16 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001069183
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 14, 2016 | G | 90,000 | $0.00 | D | 597,794 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2 | $10.00 | Mar 16, 2016 | P | 500 | A | Mar 16, 2016 | May 19, 2017 | Common Stock | 50,000 | 500 | D |
Explanation of responses
- F1Represents a gift to a family trust for which the reporting person is neither the beneficiary nor the trustee.
- F2Represents call options (right to buy) for shares of the Company's common stock