SEC Form 4 · accession 0001069183-17-000074
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
Apr 17, 2017
Accepted (ET)
Apr 19, 2017 · 5:12 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 Stock | Apr 17, 2017 | M | 58,962 | $10.29 | A | 706,964 | D | |
| Common Stock | Apr 17, 2017 | M | 11,765 | $7.13 | A | 718,729 | D | |
| Common Stock | Apr 17, 2017 | M | 5,718 | $5.57 | A | 724,447 | D | |
| Common Stock | Apr 17, 2017 | M | 21,052 | $4.75 | A | 745,499 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option | $10.29 | Apr 17, 2017 | M | 58,962 | D | May 25, 2010 | May 25, 2017 | Common Stock | 58,962 | 0 | D |
| Employee Stock Option | $7.13 | Apr 17, 2017 | M | 11,765 | D | May 28, 2011 | May 28, 2018 | Common Stock | 11,765 | 57,063 | D |
| Employee Stock Option | $5.57 | Apr 17, 2017 | M | 5,718 | D | Aug 11, 2011 | Aug 11, 2018 | Common Stock | 5,718 | 82,386 | D |
| Employee Stock Option | $4.75 | Apr 17, 2017 | M | 21,052 | D | Dec 22, 2011 | Dec 22, 2018 | Common Stock | 21,052 | 78,948 | D |