SEC Form 4 · accession 0001069183-18-000141
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
Dec 20, 2018
Accepted (ET)
Dec 21, 2018 · 6:24 pm EST
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 | Dec 20, 2018 | M | 18,397 | $4.75 | A | 632,520 | D | |
| Common Stock | Dec 20, 2018 | M | 200,000 | $4.75 | A | 832,520 | D | |
| Common StockF3 | Dec 20, 2018 | S | 107,000 | $42.27 | D | 725,520 | 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 | Dec 20, 2018 | M | 18,397 | D | Dec 22, 2011 | Dec 22, 2018 | Common Stock | 18,397 | 0 | D |
| Employee Stock Option | $4.75 | Dec 20, 2018 | M | 200,000 | D | Dec 22, 2011 | Dec 22, 2018 | Common Stock | 200,000 | 0 | D |
Explanation of responses
- F1This option exercise was executed pursuant to a filed Rule 10b5-1 plan.
- F2Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price of the option exercise.
- F3The transaction was executed in multiple trades at prices ranging from $40.15 to $45.34. The price reported above reflects the weighted average sale price.