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 M 0 167 172.89 A 2066072 D Common Stock 2021-11-17 4 S 0 20 180 D 2066052 D Common Stock 2021-11-17 4 S 0 80 180 D 2065972 D Common Stock 2021-11-18 4 M 0 11982 174.43 A 2077954 D Common Stock 2021-11-18 4 S 0 1447 180.1550 D 2076507 D Common Stock 2021-11-18 4 S 0 5790 180.1550 D 2070717 D Common Stock 2021-11-19 4 M 0 212491 181.94 A 2283208 D Common Stock 2021-11-19 4 S 0 23879 180.5066 D 2259329 D Common Stock 2021-11-19 4 S 0 2107 181.5913 D 2257222 D Common Stock 2021-11-19 4 S 0 57210 181.5913 D 2200012 D Common Stock 2021-11-19 4 S 0 43354 182.3826 D 2156658 D Common Stock 2021-11-19 4 S 0 3380 183.1134 D 2153278 D Employee Stock Option 28.58 2021-11-17 4 M 0 167 0 D 2021-06-30 2028-02-28 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 530488 1212520 D Employee Stock Option 28.58 2021-11-17 4 A 0 530488 0 A 2021-11-16 2028-02-28 Common Stock 530488 1743008 D Employee Stock Option 28.58 2021-11-18 4 M 0 11982 0 D 2021-06-30 2028-02-28 Common Stock 11982 1731026 D Employee Stock Option 28.58 2021-11-19 4 M 0 212491 0 D 2021-06-30 2028-02-28 Common Stock 212491 1518535 D 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