0001415889-21-004320.txt : 20210909
0001415889-21-004320.hdr.sgml : 20210909
20210909215620
ACCESSION NUMBER: 0001415889-21-004320
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210909
FILED AS OF DATE: 20210909
DATE AS OF CHANGE: 20210909
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SMITH PATRICK W
CENTRAL INDEX KEY: 0001167028
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-16391
FILM NUMBER: 211245731
MAIL ADDRESS:
STREET 1: 7860 EAST MCCLAIN DRIVE
STREET 2: SUITE 2
CITY: SCOTTSDALE
STATE: AZ
ZIP: 85260-1627
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AXON ENTERPRISE, INC.
CENTRAL INDEX KEY: 0001069183
STANDARD INDUSTRIAL CLASSIFICATION: ORDNANCE & ACCESSORIES, (NO VEHICLES/GUIDED MISSILES) [3480]
IRS NUMBER: 860741227
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 17800 N. 85TH ST.
CITY: SCOTTSDALE
STATE: AZ
ZIP: 85255
BUSINESS PHONE: 480-991-0797
MAIL ADDRESS:
STREET 1: 17800 N. 85TH ST.
CITY: SCOTTSDALE
STATE: AZ
ZIP: 85255
FORMER COMPANY:
FORMER CONFORMED NAME: TASER INTERNATIONAL INC
DATE OF NAME CHANGE: 20010212
4
1
form4-09092021_060912.xml
X0306
4
2021-09-09
0001069183
AXON ENTERPRISE, INC.
AXON
0001167028
SMITH PATRICK W
17800 NORTH 85TH STREET
SCOTTSDALE
AZ
85255
true
true
false
false
CHIEF EXECUTIVE OFFICER
Common Stock
2021-09-09
4
A
0
25
0
A
430526
D
Common Stock
2021-09-09
4
F
0
10
181.15
D
430516
D
Employee Stock Option
28.58
2021-09-09
4
A
0
2652440
0
A
2021-09-09
2028-02-28
Common Stock
2652440
4243904
D
The transaction consists of performance-based restricted stock units granted on January 2, 2019, for the achievement of tranches four through eight of the XSPP (eXponential Stock Performance Program) which was approved by shareholders and became effective on February 12, 2019, for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The units for this tranche vested on September 9, 2021. The shares are subject to a 2.5 year minimum holding period from the goal attainment date, excluding shares that are withheld to cover taxes.
The number of shares reported as beneficially owned by the reporting person following the transactions reported on this form has been increased by 23,000 shares following the discovery of an administrative error in two Form 4s filed by the reporting person. One of these forms was filed in 2009 and the other was filed in 2010. As a result of this administrative error, the number of shares reported as beneficially owned by the reporting person has been understated by 23,000 shares since 2010. The transactions reported in the referenced forms from 2009 and 2010 were correctly reported.
Securities disposed represent securities withheld to settle the reporting person's tax liability incident to the vesting of tranches four through eight of the XSPP (eXponential Stock Performance Plan). The remainder of the shares are subject to a 2.5 year minimum holding period.
The transaction consists of performance-based restricted stock options granted on February 26, 2018 (which was approved by shareholders and became effective on May 24, 2018) for the achievement of tranches four through eight of the CEO Performance Award for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The options for these tranches vested on September 9, 2021. Once the options are exercised, the shares are subject to a 2.5 year minimum holding period, excluding shares sold or made available to sell to cover taxes.
/s/ Patrick W. Smith, by Jawad A. Ahsan, Attorney-in-Fact
2021-09-09