0001562180-23-003425.txt : 20230404 0001562180-23-003425.hdr.sgml : 20230404 20230404202429 ACCESSION NUMBER: 0001562180-23-003425 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230404 DATE AS OF CHANGE: 20230404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dearen Danny L. CENTRAL INDEX KEY: 0001756438 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38721 FILM NUMBER: 23800796 MAIL ADDRESS: STREET 1: 26 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Axonics, 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 FORMER COMPANY: FORMER CONFORMED NAME: Axonics Modulation Technologies, Inc. DATE OF NAME CHANGE: 20140326 4 1 primarydocument.xml PRIMARY DOCUMENT X0407 4 2023-03-31 false 0001603756 Axonics, Inc. AXNX 0001756438 Dearen Danny L. 26 TECHNOLOGY DRIVE IRVINE CA 92618 false true false false President & CFO true Common Stock 2023-03-31 4 M false 6633.00 14.19 A 30626.00 D Common Stock 2023-03-31 4 M false 5468.00 25.82 A 36094.00 D Common Stock 2023-03-31 4 M false 2899.00 1.63 A 38993.00 D Common Stock 2023-03-31 4 S false 7198.00 54.8346 D 31795.00 D Common Stock 2023-03-31 4 S false 7802.00 55.6785 D 23993.00 D Stock Options (Right to buy) 14.19 2023-03-31 4 M false 6633.00 0.00 D 2029-01-30 Common Stock 6633.00 15209.00 D Stock Options (Right to buy) 25.82 2023-03-31 4 M false 5468.00 0.00 D 2029-12-12 Common Stock 5468.00 7032.00 D Stock Options (Right to buy) 1.63 2023-03-31 4 M false 2899.00 0.00 D 2028-03-30 Common Stock 2899.00 0.00 D The sale was effected pursuant to the Reporting Person's Rule 10b5-1 trading plan. This transaction was executed in multiple trades at prices ranging from $54.49 to $55.4839. 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 $55.49 to $55.98. 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 option becomes exercisable as follows: (i) 1/4 of the total number of shares of common stock underlying the option will vest on January 30, 2020 and (ii) 1/36 of the remaining shares of common stock underlying the option will vest monthly thereafter, such that the option will fully vest on January 1, 2023, provided the reporting person remains in continuous service on each vesting date. The option becomes exercisable as follows: (i) 1/4 of the total number of shares of common stock underlying the option will vest on December 12, 2020 and (ii) 1/36 of the remaining shares of common stock underlying the option will vest monthly thereafter, such that the option will fully vest on December 1, 2023, provided the reporting person remains in continuous service on each vesting date. The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting on March 30, 2018, and the remainder vesting at a rate of 1/36th per month commencing upon the one-year anniversary of March 30, 2018, 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. /s/ Danny L. Dearen 2023-04-04