0001415889-23-001515.txt : 20230127 0001415889-23-001515.hdr.sgml : 20230127 20230127185511 ACCESSION NUMBER: 0001415889-23-001515 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230125 FILED AS OF DATE: 20230127 DATE AS OF CHANGE: 20230127 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: 23564789 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 form4-01272023_110100.xml X0306 4 2023-01-25 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 2023-01-25 4 M 0 157955 192.18 A 2695649 D Common Stock 2023-01-25 4 S 0 4803 185.3492 D 2690846 D Common Stock 2023-01-25 4 S 0 4072 186.2217 D 2686774 D Common Stock 2023-01-25 4 S 0 10026 187.5415 D 2676748 D Common Stock 2023-01-25 4 S 0 9455 188.7298 D 2667293 D Common Stock 2023-01-25 4 S 0 18833 189.3774 D 2648460 D Common Stock 2023-01-25 4 S 0 11114 190.8086 D 2637346 D Common Stock 2023-01-25 4 S 0 14242 191.9426 D 2623104 D Common Stock 2023-01-25 4 S 0 4367 192.4123 D 2618737 D Common Stock 2023-01-25 4 S 0 19228 192.4123 D 2599509 D Common Stock 2023-01-26 4 M 0 219829 192.33 A 2819338 D Common Stock 2023-01-26 4 S 0 11021 187.1973 D 2808317 D Common Stock 2023-01-26 4 S 0 12106 188.3504 D 2796211 D Common Stock 2023-01-26 4 S 0 14919 189.4558 D 2781292 D Common Stock 2023-01-26 4 S 0 30644 190.2636 D 2750648 D Common Stock 2023-01-26 4 S 0 38257 191.2505 D 2712391 D Common Stock 2023-01-26 4 S 0 277 191.2505 D 2712114 D Common Stock 2023-01-26 4 S 0 22306 192.1558 D 2689808 D Common Stock 2023-01-26 4 S 0 2864 193.4269 D 2686944 D Common Stock 2023-01-26 4 S 0 1290 194.4181 D 2685654 D Common Stock 2023-01-27 4 M 0 159074 191.61 A 2844728 D Common Stock 2023-01-27 4 S 0 22326 189.2386 D 2822402 D Common Stock 2023-01-27 4 S 0 46086 190.1763 D 2776316 D Common Stock 2023-01-27 4 S 0 8848 191.1145 D 2767468 D Common Stock 2023-01-27 4 S 0 4070 191.1145 D 2763398 D Common Stock 2023-01-27 4 S 0 8061 192.4128 D 2755337 D Common Stock 2023-01-27 4 S 0 7184 193.0869 D 2748153 D Employee Stock Option 28.58 2023-01-25 4 M 0 12429 0 D 2021-09-30 2028-02-28 Common Stock 12429 530488 D Employee Stock Option 28.58 2023-01-25 4 M 0 145526 0 D 2021-11-16 2028-02-28 Common Stock 145526 384962 D Employee Stock Option 28.58 2023-01-26 4 M 0 219829 0 D 2021-11-16 2028-02-28 Common Stock 219829 165133 D Employee Stock Option 28.58 2023-01-27 4 M 0 159074 0 D 2021-11-16 2028-02-28 Common Stock 159074 6059 D 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 $185.00 to $185.98. 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 $186.01 to $187.00. 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 $187.01 to $188.00. 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 $188.10 to $189.09. 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 $189.10 to $190.06. 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 $190.14 to $191.13. 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 $191.15 to $192.14. 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 $192.15 to $193.02. 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. 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 $186.70 to $187.66. 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 $187.80 to $188.79. 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 $188.80 to $189.79. 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 $189.80 to $190.79. 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 $190.80 to $191.79. 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 $191.83 to $192.80. 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 $193.00 to $193.98. 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 $194.07 to $194.50. 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 $188.74 to $189.73. 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 $189.78 to $190.77. 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 $190.78 to $191.70. 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 $191.82 to $192.76. 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 $192.82 to $193.69. 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. /s/ Patrick W. Smith, by Isaiah Fields, Attorney-in-Fact 2023-01-27