Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AXON ENTERPRISE, INC.AXON · Entity 567 | Director · CHIEF EXECUTIVE OFFICER | September 08, 2026 | September 10, 2026 |
| Insight Molecular Diagnostics Inc.OCX · Entity 6631 | 10% owner | February 07, 2025 | February 11, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AXON ENTERPRISE, INC.
Report date September 08, 2026 · Filed September 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,118,012 |
Ending reported balance
After 2026-09-08 transaction · row 11
11 source rows · reconciled sequenceRow 1 · 2026-09-08 · Sale · Disposed 71 · Balance 3,127,941 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. Row 2 · 2026-09-08 · Sale · Disposed 410 · Balance 3,127,531 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F2: The transaction was executed in multiple trades at prices ranging from $503.46 to $504.21. 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. Row 3 · 2026-09-08 · Sale · Disposed 1,104 · Balance 3,126,427 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F3: The transaction was executed in multiple trades at prices ranging from $504.94 to $505.875. 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. Row 4 · 2026-09-08 · Sale · Disposed 744 · Balance 3,125,683 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F4: The transaction was executed in multiple trades at prices ranging from $505.95 to $506.885. 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. Row 5 · 2026-09-08 · Sale · Disposed 749 · Balance 3,124,934 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F5: The transaction was executed in multiple trades at prices ranging from $506.96 to $507.90. 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. Row 6 · 2026-09-08 · Sale · Disposed 1,774 · Balance 3,123,160 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F6: The transaction was executed in multiple trades at prices ranging from $507.97 to $508.95. 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. Row 7 · 2026-09-08 · Sale · Disposed 1,319 · Balance 3,121,841 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F7: The transaction was executed in multiple trades at prices ranging from $508.985 to $509.91. 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. Row 8 · 2026-09-08 · Sale · Disposed 1,348 · Balance 3,120,493 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F8: The transaction was executed in multiple trades at prices ranging from $510.045 to $511.04. 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. Row 9 · 2026-09-08 · Sale · Disposed 1,251 · Balance 3,119,242 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F9: The transaction was executed in multiple trades at prices ranging from $511.045 to $511.985. 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. Row 10 · 2026-09-08 · Sale · Disposed 1,033 · Balance 3,118,209 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F10: The transaction was executed in multiple trades at prices ranging from $512.19 to $513.105. 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. Row 11 · 2026-09-08 · Sale · Disposed 197 · Balance 3,118,012 F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025. F11: The transaction was executed in multiple trades at prices ranging from $513.23 to $513.645. 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 12, 2025.
F2: The transaction was executed in multiple trades at prices ranging from $503.46 to $504.21. 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.
F3: The transaction was executed in multiple trades at prices ranging from $504.94 to $505.875. 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.
F4: The transaction was executed in multiple trades at prices ranging from $505.95 to $506.885. 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.
F5: The transaction was executed in multiple trades at prices ranging from $506.96 to $507.90. 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.
F6: The transaction was executed in multiple trades at prices ranging from $507.97 to $508.95. 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.
F7: The transaction was executed in multiple trades at prices ranging from $508.985 to $509.91. 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.
F8: The transaction was executed in multiple trades at prices ranging from $510.045 to $511.04. 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.
F9: The transaction was executed in multiple trades at prices ranging from $511.045 to $511.985. 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.
F10: The transaction was executed in multiple trades at prices ranging from $512.19 to $513.105. 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.
F11: The transaction was executed in multiple trades at prices ranging from $513.23 to $513.645. 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.
Insight Molecular Diagnostics Inc.
Report date February 07, 2025 · Filed February 11, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, no par valueSEC Table I · non-derivative | IndirectSee footnote | 3,258,485 |
Last balance in matching sequence
After 2025-02-07 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2025-02-07 · Purchase · Acquired 1,077,600 · Balance 2,872,671 F1: Reflects shares of the Issuer's common stock, no par value, purchased by the Reporting Person from the Issuer in a private placement pursuant to that certain Securities Purchase Agreement, dated as of February 7, 2025, by and among the Issuer and the investors signatory thereto. F2: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust. Row 2 · 2025-02-07 · Other · Acquired 385,814 · Balance 3,258,485 F3: Reflects shares of the Issuer's common stock, no par value, purchased by the Reporting Person from the Issuer in a registered direct offering pursuant to that certain Securities Purchase Agreement, dated as of February 7, 2025, by and among the Issuer and the investors signatory thereto. F2: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects shares of the Issuer's common stock, no par value, purchased by the Reporting Person from the Issuer in a private placement pursuant to that certain Securities Purchase Agreement, dated as of February 7, 2025, by and among the Issuer and the investors signatory thereto.
F2: The shares of common stock reported herein are directly held by PATRICK W SMITH TTEE THE SMITH IRREVOCABLE TRUST U/A DTD 05/01/2015 (the "Trust"). As the trustee of the Trust, the Reporting Person may be deemed to beneficially own the securities held by the Trust.
F3: Reflects shares of the Issuer's common stock, no par value, purchased by the Reporting Person from the Issuer in a registered direct offering pursuant to that certain Securities Purchase Agreement, dated as of February 7, 2025, by and among the Issuer and the investors signatory thereto.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 21, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 16,236 | $182.34 | $2,960,395.93 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 21 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 561,753 F1 · kind: 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. F17 · price: The transaction was executed in multiple trades at prices ranging from $182.01 to $182.83. 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. Read SEC document |
| October 21, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 3,152 | $181.68 | $572,649.06 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 20 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 577,989 F1 · kind: 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. F16 · price: The transaction was executed in multiple trades at prices ranging from $181.01 to $182.00. 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. Read SEC document |
| October 21, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 13,239 | $180.40 | $2,388,369.88 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 19 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 581,141 F1 · kind: 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. F15 · price: The transaction was executed in multiple trades at prices ranging from $180.00 to $180.96. 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. Read SEC document |
| October 21, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 13,399 | $180.40 | $2,417,234.54 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 18 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 594,380 F7 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F15 · price: The transaction was executed in multiple trades at prices ranging from $180.00 to $180.96. 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. Read SEC document |
| October 21, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionCommon Stock | 109,080 | $184.60 | $20,136,168.00 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 17 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 607,779 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionEmployee Stock Option · Derivative | 35,604 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · derivative · entry 26 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,069,265 Underlying: Common Stock · 35,604 shares Expires 2028-02-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 300 | $186.91 | $56,073.99 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 16 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 498,699 F1 · kind: 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. F14 · price: The transaction was executed in multiple trades at prices ranging from $186.51 to $187.12. 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 1,600 | $185.81 | $297,300.16 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 15 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 498,999 F1 · kind: 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. F13 · price: The transaction was executed in multiple trades at prices ranging from $185.51 to $186.49. 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 4,176 | $184.38 | $769,957.52 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 14 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,599 F1 · kind: 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. F12 · price: The transaction was executed in multiple trades at prices ranging from $184.09 to $184.89. 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 5,962 | $183.62 | $1,094,749.00 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 13 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 504,775 F1 · kind: 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. F11 · price: The transaction was executed in multiple trades at prices ranging from $183.09 to $184.08. 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 1,515 | $182.41 | $276,352.67 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 12 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 510,737 F1 · kind: 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. F10 · price: The transaction was executed in multiple trades at prices ranging from $182.05 to $183.01. 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 2,000 | $181.30 | $362,605.00 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 11 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 512,252 F1 · kind: 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. F9 · price: The transaction was executed in multiple trades at prices ranging from $181.04 to $182.01. 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 1,689 | $180.20 | $304,363.71 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 10 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 514,252 F1 · kind: 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. F8 · price: The transaction was executed in multiple trades at prices ranging from $180.00 to $180.58. 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 4,311 | $180.20 | $776,857.29 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 9 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 515,941 F7 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F8 · price: The transaction was executed in multiple trades at prices ranging from $180.00 to $180.58. 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. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionCommon Stock | 35,604 | $179.05 | $6,374,896.20 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 8 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 520,252 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionEmployee Stock Option · Derivative | 82,110 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · derivative · entry 25 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,104,869 Underlying: Common Stock · 82,110 shares Expires 2028-02-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 10,026 | $185.35 | $1,858,291.03 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 7 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 484,648 F7 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F6 · price: The transaction was executed in multiple trades at prices ranging from $185.14 to $185.64. 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. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 6,716 | $185.35 | $1,244,791.80 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 6 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 494,674 F1 · kind: 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. F6 · price: The transaction was executed in multiple trades at prices ranging from $185.14 to $185.64. 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. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 20,619 | $184.64 | $3,807,149.89 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 5 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 501,390 F1 · kind: 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. F5 · price: The transaction was executed in multiple trades at prices ranging from $184.14 to $185.13. 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. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 6,946 | $183.66 | $1,275,700.28 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 4 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 522,009 F1 · kind: 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. F4 · price: The transaction was executed in multiple trades at prices ranging from $183.14 to $184.13. 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. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 3,121 | $182.45 | $569,424.89 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 3 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 528,955 F1 · kind: 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. F3 · price: The transaction was executed in multiple trades at prices ranging from $182.09 to $183.06. 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. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 2,700 | $181.46 | $489,928.50 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 2 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 532,076 F1 · kind: 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. F2 · price: The transaction was executed in multiple trades at prices ranging from $180.87 to $181.73. 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. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 01:06 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionCommon Stock | 82,110 | $185.27 | $15,212,519.70 |
DisclosureSEC source: 0001415889-21-004938 · form4-10212021_061043.xml · nonDerivative · entry 1 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 534,776 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionEmployee Stock Option · Derivative | 43,046 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · derivative · entry 14 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,186,979 Underlying: Common Stock · 43,046 shares Expires 2028-02-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 5,262 | $182.41 | $959,824.06 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 11 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,666 F3 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F7 · price: The transaction was executed in multiple trades at prices ranging from $182.00 to $182.81. 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. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 1,410 | $182.41 | $257,193.45 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 10 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 457,928 F1 · kind: 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. F7 · price: The transaction was executed in multiple trades at prices ranging from $182.00 to $182.81. 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. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 15,437 | $181.55 | $2,802,630.57 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 9 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,338 F1 · kind: 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. F6 · price: The transaction was executed in multiple trades at prices ranging from $181.00 to $181.98. 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. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 4,203 | $180.66 | $759,299.69 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 8 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 474,775 F1 · kind: 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. F5 · price: 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. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionCommon Stock | 43,046 | $181.70 | $7,821,458.20 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 7 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 478,978 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 15, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionEmployee Stock Option · Derivative | 6,833 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · derivative · entry 13 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,230,025 Underlying: Common Stock · 6,833 shares Expires 2028-02-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 15, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 832 | $180.08 | $149,828.39 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 5 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,373 F3 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F2 · price: The transaction was executed in multiple trades at prices ranging from $180.00 to $180.35. 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. Read SEC document |
| October 15, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 3,330 | $180.08 | $599,673.73 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 3 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,065 F1 · kind: 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. F2 · price: The transaction was executed in multiple trades at prices ranging from $180.00 to $180.35. 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. Read SEC document |
| October 15, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionCommon Stock | 6,833 | $177.94 | $1,215,864.02 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 2 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 444,395 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 14, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionEmployee Stock Option · Derivative | 7,046 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · derivative · entry 12 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,236,858 Underlying: Common Stock · 7,046 shares Expires 2028-02-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 14, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 3,441 | $180.19 | $620,041.36 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 6 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 435,932 F1 · kind: 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. F4 · price: The transaction was executed in multiple trades at prices ranging from $180.00 to $180.57. 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. Read SEC document |
| October 14, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 860 | $180.19 | $154,965.29 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 4 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 440,205 F3 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F4 · price: The transaction was executed in multiple trades at prices ranging from $180.00 to $180.57. 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. Read SEC document |
| October 14, 2021 Filed Oct 19, 2021 01:25 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Exercise / conversionCommon Stock | 7,046 | $179.03 | $1,261,445.38 |
DisclosureSEC source: 0001415889-21-004903 · form4-10182021_061033.xml · nonDerivative · entry 1 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 437,562 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 09, 2021 Filed Sep 10, 2021 01:56 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | GrantEmployee Stock Option · Derivative | 2,652,440 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001415889-21-004320 · form4-09092021_060912.xml · derivative · entry 3 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,243,904 Underlying: Common Stock · 2,652,440 shares Expires 2028-02-28 F4 · kind: 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 four through eight 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 September 9, 2021. Once the options are exercised, the shares are subject to a 2.5 year minimum holding period, excluding shares sold or made available to sell to cover taxes. Read SEC document |
| September 09, 2021 Filed Sep 10, 2021 01:56 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | Tax withholdingCommon Stock | 10 | $181.15 | $1,811.50 |
DisclosureSEC source: 0001415889-21-004320 · form4-09092021_060912.xml · nonDerivative · entry 2 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,516 F3 · kind: Securities disposed represent securities withheld to settle the reporting person's tax liability incident to the vesting of tranches four through eight of the XSPP (eXponential Stock Performance Plan). The remainder of the shares are subject to a 2.5 year minimum holding period. Read SEC document |
| September 09, 2021 Filed Sep 10, 2021 01:56 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | GrantCommon Stock | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-004320 · form4-09092021_060912.xml · nonDerivative · entry 1 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 430,526 F1 · kind: The transaction consists of performance-based restricted stock units granted on January 2, 2019, for the achievement of tranches four through eight of the XSPP (eXponential Stock Performance Program) which was approved by shareholders and became effective on February 12, 2019, for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The units for this tranche vested on September 9, 2021. The shares are subject to a 2.5 year minimum holding period from the goal attainment date, excluding shares that are withheld to cover taxes. F2 · balance_after: The number of shares reported as beneficially owned by the reporting person following the transactions reported on this form has been increased by 23,000 shares following the discovery of an administrative error in two Form 4s filed by the reporting person. One of these forms was filed in 2009 and the other was filed in 2010. As a result of this administrative error, the number of shares reported as beneficially owned by the reporting person has been understated by 23,000 shares since 2010. The transactions reported in the referenced forms from 2009 and 2010 were correctly reported. Read SEC document |
| August 06, 2021 Filed Aug 7, 2021 01:58 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 31,289 | $198.00 | $6,195,222.00 |
DisclosureSEC source: 0001415889-21-003826 · form4-08062021_060854.xml · nonDerivative · entry 1 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 407,501 F1 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. Read SEC document |
| May 17, 2021 Filed May 18, 2021 17:15 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | GrantEmployee Stock Option · Derivative | 1,060,976 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001415889-21-002531 · form4-05182021_100541.xml · derivative · entry 2 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,591,464 Underlying: Common Stock · 1,060,976 shares Expires 2028-02-28 F2 · kind: 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 the second and third tranches 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 May 17, 2021. Once the options are exercised, the shares are subject to a 2.5 year minimum holding period, excluding shares sold or made available to sell to cover taxes. Read SEC document |
| May 17, 2021 Filed May 18, 2021 17:15 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | GrantCommon Stock | 10 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-002531 · form4-05182021_100541.xml · nonDerivative · entry 1 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,790 F1 · kind: The transaction consists of performance-based restricted stock units granted on January 2, 2019, for the achievement of the second and third tranches of the XSPP (eXponential Stock Performance Program) which was approved by shareholders and became effective on February 12, 2019, for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The units for this tranche vested on May 17, 2021. The shares are subject to a 2.5 year minimum holding period from the goal attainment date. Read SEC document |
| March 08, 2021 Filed Mar 11, 2021 02:01 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | GrantEmployee Stock Option · Derivative | 530,488 | $0.00 Strike: $28.58 | $0.00 |
DisclosureSEC source: 0001415889-21-001441 · form4-03102021_060309.xml · derivative · entry 2 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 530,488 Underlying: Common Stock · 530,488 shares Expires 2028-02-28 F3 · kind: 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 the first tranche 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 this tranche vested on March 8, 2021. The options are subject to a 2.5 year minimum holding period, post-exercise, excluding units sold or made available to sell to cover taxes. Read SEC document |
| March 08, 2021 Filed Mar 11, 2021 02:01 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | GrantCommon Stock | 5 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-001441 · form4-03102021_060309.xml · nonDerivative · entry 1 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,780 F1 · kind: The transaction consists of performance-based restricted stock units granted on January 2, 2019, for the achievement of the first tranche of the XSPP (eXponential Stock Performance Program) which was approved by shareholders and became effective on February 12, 2019, for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The units for this tranche vested on March 8, 2021. The units are subject to a 2.5 year minimum holding period, excluding units sold or made available to sell to cover taxes. F2 · balance_after: Due to an administrative filing error, the number of securities reported by the reporting person as beneficially owned in prior Form 4 filings following the reported transactions in those filings was incorrect. The number of shares reported in Column 5 of this Form 4 following the reported transactions has been increased by 2,000 shares to reflect the reporting person's corrected number of shares beneficially owned following the reported transactions. The transaction codes and number of shares previously reported as acquired and disposed by the reporting person in prior Form 4 filings were correct as reflected in the prior filings. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 21:30 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 401 | $172.00 | $68,970.16 |
DisclosureSEC source: 0001415889-21-001341 · form4-03042021_040309.xml · nonDerivative · entry 9 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 436,775 F1 · kind: Securities disposed represent securities sold on the open market to settle the reporting person's tax liability incident to the vesting of restricted stock units. This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F10 · price: The transaction was executed in multiple trades at prices ranging from $171.90 to $172.14. 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 21:30 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 594 | $171.19 | $101,687.99 |
DisclosureSEC source: 0001415889-21-001341 · form4-03042021_040309.xml · nonDerivative · entry 8 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 437,176 F1 · kind: Securities disposed represent securities sold on the open market to settle the reporting person's tax liability incident to the vesting of restricted stock units. This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F9 · price: The transaction was executed in multiple trades at prices ranging from $170.89 to $171.855. 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 21:30 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 1,338 | $170.29 | $227,846.68 |
DisclosureSEC source: 0001415889-21-001341 · form4-03042021_040309.xml · nonDerivative · entry 7 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 437,770 F1 · kind: Securities disposed represent securities sold on the open market to settle the reporting person's tax liability incident to the vesting of restricted stock units. This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F8 · price: The transaction was executed in multiple trades at prices ranging from $169.79 to $170.75. 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 21:30 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 3,012 | $169.14 | $509,437.63 |
DisclosureSEC source: 0001415889-21-001341 · form4-03042021_040309.xml · nonDerivative · entry 6 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 439,108 F1 · kind: Securities disposed represent securities sold on the open market to settle the reporting person's tax liability incident to the vesting of restricted stock units. This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F7 · price: The transaction was executed in multiple trades at prices ranging from $168.72 to $169.56. 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. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 21:30 UTC | AXON ENTERPRISE, INC. AXON · Entity 567 | SaleCommon Stock | 6,098 | $168.15 | $1,025,387.85 |
DisclosureSEC source: 0001415889-21-001341 · form4-03042021_040309.xml · nonDerivative · entry 5 SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 442,120 F1 · kind: Securities disposed represent securities sold on the open market to settle the reporting person's tax liability incident to the vesting of restricted stock units. This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan. F6 · price: The transaction was executed in multiple trades at prices ranging from $167.715 to $168.715 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.