Statement of Changes in Beneficial Ownership (4)
December 09 2020 - 04:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * SMITH
PATRICK W |
2. Issuer Name and Ticker or Trading
Symbol AXON ENTERPRISE, INC. [ AAXN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CHIEF EXECUTIVE OFFICER |
(Last)
(First)
(Middle)
17800 NORTH 85TH STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/7/2020
|
(Street)
SCOTTSDALE, AZ 85255
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
12/7/2020 |
|
S(1) |
|
799 |
D |
$123.17 (2) |
468756 |
D |
|
Common Stock |
12/7/2020 |
|
S(1) |
|
355 |
D |
$124.25 (3) |
468401 |
D |
|
Common Stock |
12/7/2020 |
|
S(1) |
|
91 |
D |
$124.86 |
468310 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
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. |
(2) |
The transaction was executed
in multiple trades at prices ranging from $122.75 to $123.72. 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. |
(3) |
The transaction was executed
in multiple trades at prices ranging from $123.77 to $124.76. 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. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
SMITH PATRICK W
17800 NORTH 85TH STREET
SCOTTSDALE, AZ 85255 |
X |
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CHIEF EXECUTIVE OFFICER |
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Signatures
|
/s/ Patrick W. Smith, by Jawad A. Ahsan,
Attorney-in-Fact |
|
12/9/2020 |
**Signature of Reporting
Person |
Date |