SEC Form 4 · accession 0001069183-18-000080
AXON ENTERPRISE, INC. · AXON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark W Kroll
Director
Period of report
Jun 7, 2013
Accepted (ET)
Jun 29, 2018 · 6:02 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 | Jun 7, 2013 | G | 2,070 | $9.43 | D | 55,135 | D | |
| Common StockF2,F3 | Dec 16, 2014 | S | 3,100 | $22.85 | D | 31,202 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person inadvertently failed to report this disposition by gift on Form 5 for the registrant's 2013 fiscal year.
- F2Due to an administrative coding error by the reporting person's broker, the reporting person inadvertently did not report this open market sale transaction on Form 4 in 2014.
- F3During 2003 and 2004 the reporting person was granted 20,833 options in connection with the reporting person's service on the registrant's board of directors. Due to an administrative oversight, these options were incorrectly reported on Form 4 as the acquisition of non-derivative securities in Table I at the time of grant, while correctly reported as the acquisition of derivative securities in Table II. Upon exercise of the options by the reporting person in subsequent periods, the acquisitions were correctly reported as the disposition of the derivative securities in Table II and the acquisition of non-derivative securities in Table I. As a result of the incorrect reporting, beneficial ownership for the reporting person has been overstated by 20,833 shares in all Form 4s filed relating to the registrant since 2004 and prior to the date of hereof. Accordingly, the Amount of Securities Beneficially Owned Following Reported Transaction(s) above has been reduced by 20,833 shares.