SEC Form 4 · accession 0001069183-18-000052
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
May 15, 2018
Accepted (ET)
May 17, 2018 · 4:07 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 | May 15, 2018 | M | 100,000 | $4.75 | A | 862,684 | D | |
| Common Stock | May 15, 2018 | M | 60,551 | $4.75 | A | 923,235 | D | |
| Common Stock | May 15, 2018 | M | 82,386 | $5.57 | A | 1,005,621 | D | |
| Common Stock | May 15, 2018 | M | 57,063 | $7.13 | A | 1,062,684 | D | |
| Common Stock | May 15, 2018 | F | 29,854 | $54.54 | D | 1,032,830 | D | |
| Common Stock | May 15, 2018 | F | 113,594 | $54.54 | D | 919,236 | D | |
| Common Stock | May 16, 2018 | S | 300,000 | $53.00 | D | 619,236 | 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 | $4.75 | May 15, 2018 | M | 100,000 | D | Dec 22, 2008 | Dec 22, 2018 | Common Stock | 100,000 | 0 | D |
| Employee Stock Option | $4.75 | May 15, 2018 | M | 60,551 | D | Dec 22, 2011 | Dec 22, 2018 | Common Stock | 60,551 | 18,397 | D |
| Employee Stock Option | $5.57 | May 15, 2018 | M | 82,386 | D | Aug 11, 2011 | Aug 11, 2018 | Common Stock | 82,386 | 0 | D |
| Employee Stock Option | $7.13 | May 15, 2018 | M | 57,063 | D | May 28, 2011 | May 28, 2018 | Common Stock | 57,063 | 0 | D |
Explanation of responses
- F1Securities disposed represent those delivered for the payment of the exercise price incident to the exercise of vested employee stock options.
- F2Securities disposed represent securities withheld to settle the reporting person's tax liability incident to the vesting of vested employee stock options.