0001415889-21-005044.txt : 20211102 0001415889-21-005044.hdr.sgml : 20211102 20211102204343 ACCESSION NUMBER: 0001415889-21-005044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211029 FILED AS OF DATE: 20211102 DATE AS OF CHANGE: 20211102 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: 211373330 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 form4-11022021_051134.xml X0306 4 2021-10-29 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 2021-10-29 4 M 0 8052 179.96 A 631229 D Common Stock 2021-10-29 4 S 0 985 180.1083 D 630244 D Common Stock 2021-10-29 4 S 0 3942 180.1083 D 626302 D Common Stock 2021-11-01 4 M 0 85234 180.67 A 711536 D Common Stock 2021-11-01 4 S 0 10423 180.4711 D 701113 D Common Stock 2021-11-01 4 S 0 26652 180.4711 D 674461 D Common Stock 2021-11-01 4 S 0 10008 181.4541 D 664453 D Common Stock 2021-11-01 4 S 0 5034 182.2535 D 659419 D Common Stock 2021-11-02 4 M 0 62349 181.60 A 721768 D Common Stock 2021-11-02 4 S 0 7641 180.3686 D 714127 D Common Stock 2021-11-02 4 S 0 13324 180.3686 D 700803 D Common Stock 2021-11-02 4 S 0 17239 181.4113 D 683564 D Employee Stock Option 28.58 2021-10-29 4 M 0 8052 0 D 2020-12-31 2028-02-28 Common Stock 8052 3740743 D Employee Stock Option 28.58 2021-11-01 4 M 0 27327 0 D 2020-12-31 2028-02-28 Common Stock 27327 3713416 D Employee Stock Option 28.58 2021-11-01 4 M 0 57907 0 D 2021-03-31 2028-02-28 Common Stock 57907 3655509 D Employee Stock Option 28.58 2021-11-02 4 M 0 62349 0 D 2021-03-31 2028-02-28 Common Stock 62349 3593160 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 $180.50. 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. 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 $180.99. 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 $181.00 to $181.94. 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 $182.00 to $182.69. 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 $181.88. 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 2021-11-02