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