0001415889-21-005330.txt : 20211119
0001415889-21-005330.hdr.sgml : 20211119
20211119201356
ACCESSION NUMBER: 0001415889-21-005330
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211117
FILED AS OF DATE: 20211119
DATE AS OF CHANGE: 20211119
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: 211429936
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
form4-11192021_051147.xml
X0306
4
2021-11-17
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
2021-11-17
4
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Common Stock
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4
S
0
20
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Common Stock
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4
S
0
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Common Stock
2021-11-18
4
M
0
11982
174.43
A
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2021-11-18
4
S
0
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Common Stock
2021-11-18
4
S
0
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D
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Common Stock
2021-11-19
4
M
0
212491
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A
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Common Stock
2021-11-19
4
S
0
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D
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2021-11-19
4
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4
S
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2021-11-19
4
S
0
43354
182.3826
D
2156658
D
Common Stock
2021-11-19
4
S
0
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D
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Employee Stock Option
28.58
2021-11-17
4
M
0
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Common Stock
167
682032
D
Employee Stock Option
28.58
2021-11-17
4
A
0
530488
0
A
2021-09-30
2028-02-28
Common Stock
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D
Employee Stock Option
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2021-11-17
4
A
0
530488
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A
2021-11-16
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M
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This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.
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 $180.00 to $180.50. 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 $180.00 to $180.97. 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 $181.99. 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 $182.96. 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 $183.40. 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 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 nine and ten 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 November 17, 2021. Once the options are exercised, the shares are subject to a 2.5 year minimum holding period, excluding shares withheld, sold or made available to sell to cover taxes.
/s/ Patrick W. Smith, by Jawad A. Ahsan, Attorney-in-Fact
2021-11-19