Form Type: 4

SEC EDGAR Link
Accession Number:0001415889-21-005708
Date:2021-12-01
Issuer: AXON ENTERPRISE, INC. (AXON)
Original Submission Date:

Reporting Person:

ISNER JOSHUA
17800 NORTH 85TH STREET
SCOTTSDALE, AZ 85255

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-12-01 S 267 d $162.81 210,271 direct
COMMON STOCK 2021-12-01 S 9 d $165.31 210,262 direct
COMMON STOCK 2021-12-02 S 321 d $164.53 209,941 direct
COMMON STOCK 2021-12-02 A 49,883 a $0.00 259,824 direct
COMMON STOCK 2021-12-02 F 22,174 d $159.36 237,650 direct
COMMON STOCK 2021-12-02 A 4,393 a $159.36 242,043 direct
COMMON STOCK 2021-12-02 A 2,981 a $159.36 245,024 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 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.
f2 this sale of vested restricted stock units was executed pursuant to a filed rule 10b5-1 plan.
f3 the transaction consists of performance-based restricted stock units granted on january 2, 2019, for the achievement of tranche nine 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 december 2, 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.
f4 securities disposed represent securities withheld to settle the reporting person's tax liability incident to the vesting of tranche nine of the xspp (exponential stock performance plan). the remainder of the shares are subject to a 2.5 year minimum holding period.
f5 time-vested restricted stock units granted to the reporting person pursuant to the axon enterprise, inc. 2019 stock incentive plan. the grant is scheduled to vest in three equal installments beginning on december 2, 2022.
f6 time-vested restricted stock units granted to the reporting person pursuant to the axon enterprise, inc. 2019 stock incentive plan. two thirds of the award will vest on december 2, 2022 and the remaining one third will vest on december 2, 2023.
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