0001415889-21-004978.txt : 20211026 0001415889-21-004978.hdr.sgml : 20211026 20211026212304 ACCESSION NUMBER: 0001415889-21-004978 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211022 FILED AS OF DATE: 20211026 DATE AS OF CHANGE: 20211026 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: 211350423 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 form4-10262021_061043.xml X0306 4 2021-10-22 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 2021-10-22 4 M 0 62716 182.65 A 603500 D Common Stock 2021-10-22 4 S 0 7680 180.4752 D 595820 D Common Stock 2021-10-22 4 S 0 337 180.4752 D 595483 D Common Stock 2021-10-22 4 S 0 15326 181.3831 D 580157 D Common Stock 2021-10-22 4 S 0 11830 182.4340 D 568327 D Common Stock 2021-10-22 4 S 0 1159 183.18 D 567168 D Common Stock 2021-10-22 4 S 0 1140 184.5806 D 566028 D Common Stock 2021-10-22 4 S 0 929 185.3146 D 565099 D Common Stock 2021-10-25 4 M 0 71420 179.8 A 636519 D Common Stock 2021-10-25 4 S 0 8695 180.5968 D 627824 D Common Stock 2021-10-25 4 S 0 8243 180.5968 D 619581 D Common Stock 2021-10-25 4 S 0 10343 181.2704 D 609238 D Common Stock 2021-10-25 4 S 0 11074 182.5813 D 598164 D Common Stock 2021-10-25 4 S 0 4921 183.1463 D 593243 D Common Stock 2021-10-25 4 S 0 200 184.67 D 593043 D Common Stock 2021-10-26 4 M 0 77254 180.20 A 670297 D Common Stock 2021-10-26 4 S 0 9424 180.3103 D 660873 D Common Stock 2021-10-26 4 S 0 14966 180.3103 D 645907 D Common Stock 2021-10-26 4 S 0 6368 181.296 D 639539 D Common Stock 2021-10-26 4 S 0 14862 182.6085 D 624677 D Common Stock 2021-10-26 4 S 0 1500 183.1834 D 623177 D Employee Stock Option 28.58 2021-10-22 4 M 0 62716 0 D 2020-12-31 2028-02-28 Common Stock 62716 3897469 D Employee Stock Option 28.58 2021-10-25 4 M 0 71420 0 D 2020-12-31 2028-02-28 Common Stock 71420 3826049 D Employee Stock Option 28.58 2021-10-26 4 M 0 77254 0 D 2020-12-31 2028-02-28 Common Stock 77254 3748795 D This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. The transaction was executed in multiple trades at prices ranging from $180.00 to $180.99. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period. The transaction was executed in multiple trades at prices ranging from $181.00 to $181.99. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $182.00 to $182.92. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $183.01 to $184.00. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $184.11 to $185.05. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $185.13 to $185.94. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $181.00 to $181.98. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $182.00 to $182.99. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $183.00 to $183.83. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $181.00 to $181.91. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $182.00 to $182.96 The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The transaction was executed in multiple trades at prices ranging from $183.00 to $183.29. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. /s/ Patrick W. Smith, by Jawad A. Ahsan, Attorney-in-Fact 2021-10-26