0001562180-20-003644.txt : 20200514
0001562180-20-003644.hdr.sgml : 20200514
20200514215819
ACCESSION NUMBER: 0001562180-20-003644
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200226
FILED AS OF DATE: 20200514
DATE AS OF CHANGE: 20200514
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dearen Danny L.
CENTRAL INDEX KEY: 0001756438
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38721
FILM NUMBER: 20880277
MAIL ADDRESS:
STREET 1: 26 TECHNOLOGY DRIVE
CITY: IRVINE
STATE: CA
ZIP: 92618
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Axonics Modulation Technologies, Inc.
CENTRAL INDEX KEY: 0001603756
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 454744083
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 26 TECHNOLOGY DRIVE
CITY: IRVINE
STATE: CA
ZIP: 92618
BUSINESS PHONE: 949-396-6322
MAIL ADDRESS:
STREET 1: 26 TECHNOLOGY DRIVE
CITY: IRVINE
STATE: CA
ZIP: 92618
4/A
1
primarydocument.xml
PRIMARY DOCUMENT
X0306
4/A
2020-02-26
2020-02-28
false
0001603756
Axonics Modulation Technologies, Inc.
AXNX
0001756438
Dearen Danny L.
26 TECHNOLOGY DRIVE
IRVINE
CA
92618
false
true
false
false
See Remarks
Common Stock
2020-02-26
4
M
false
15853.00
0.98
A
72344.00
D
Common Stock
2020-02-26
4
S
false
8000.00
37.0077
D
64344.00
D
Common Stock
2020-02-26
4
S
false
7853.00
37.0066
D
56491.00
D
Stock Option (Right to Buy)
0.98
2020-02-26
4
M
false
15853.00
0.00
D
2026-01-15
Common Stock
15853.00
81425.00
D
The reporting person's original Form 4 for this transaction reported that the shares sold by the reporting person where already owned by the reporting person prior to the sale transaction. The shares sold by the reporting person were actually acquired by the reporting person pursuant to the exercise of stock options immediately prior to the sale transaction as reported in Table I and Table II in the amended Form 4.
This sale was pursuant to a 10b5-1 plan adopted by the reporting person on October 10, 2019.
This transaction was executed in multiple trades at prices ranging from $37.00 to $37.06. The price reported above reflects the weighted average 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.
This transaction was executed in multiple trades at prices ranging from $37.00 to $37.055. The price reported above reflects the weighted average 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 shares subject to the option vest over a period of four years. 34,346 of the shares subject to the option vested on January 15, 2016 and the remainder vest at a rate of 1/36th per month commencing on December 15, 2017 provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. The option is subject to an early exercise provision and is immediately exercisable.
President, Chief Financial Officer
/s/ Danny L. Dearen
2020-05-14