Home > Insider Trading > Filing (0001562180-20-003766)

Filing Details

Accession Number:: 0001562180-20-003766
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-05-19 21:01:39
Reporting Period:: 2020-05-15

Accepted Time:: 2020-05-19 21:01:39
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1603756	Axonics Modulation Technologies Inc.	AXNX	Surgical & Medical Instruments & Apparatus (3841)	454744083

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1756438	L. Danny Dearen	26 Technology Drive Irvine CA 92618	See Remarks	No	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-05-15	2,722	$1.32	59,213	No	4	M	Direct
Common Stock	Acquisiton	2020-05-15	27,278	$0.98	86,491	No	4	M	Direct
Common Stock	Disposition	2020-05-15	15,000	$35.03	71,491	No	4	S	Direct
Common Stock	Disposition	2020-05-15	15,000	$35.24	56,491	No	4	S	Direct
Common Stock	Acquisiton	2020-05-18	15,000	$1.32	71,491	No	4	M	Direct
Common Stock	Disposition	2020-05-18	15,000	$37.26	56,491	No	4	S	Direct
Common Stock	Acquisiton	2020-05-19	15,000	$1.32	71,491	No	4	M	Direct
Common Stock	Disposition	2020-05-19	15,000	$40.05	56,491	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2020-05-15	27,278	$0.00	27,278	$0.98
Common Stock	Stock Option (Right to Buy)	Disposition	2020-05-15	2,722	$0.00	2,722	$1.32
Common Stock	Stock Option (Right to Buy)	Disposition	2020-05-18	15,000	$0.00	15,000	$1.32
Common Stock	Stock Option (Right to Buy)	Disposition	2020-05-19	9,778	$0.00	9,778	$1.32
Common Stock	Stock Option (Right to Buy)	Disposition	2020-05-19	5,222	$0.00	5,222	$1.32

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2026-01-15	No	4	M	Direct
36,095	2027-05-23	No	4	M	Direct
21,095	2027-05-23	No	4	M	Direct
11,317	2027-05-23	No	4	M	Direct
19,318	2027-07-05	No	4	M	Direct

Footnotes

This sale was pursuant to a 10b5-1 plan adopted by the reporting person on March 23, 2020.
This transaction was executed in multiple trades at prices ranging from $34.58 to $35.42. The price reported above reflects the weighted average 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 transaction was executed in multiple trades at prices ranging from $35.00to $35.455. The price reported above reflects the weighted average 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 transaction was executed in multiple trades at prices ranging from $37.00 to $37.64. The price reported above reflects the weighted average 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 transaction was executed in multiple trades at prices ranging from $40 to $40.34. The price reported above reflects the weighted average 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 shares subject to the option vest over a period of four years. 34,346 of the shares subject to the option vested on January 15, 2016 and the remainder vest at a rate of 1/36th per month commencing on January 15, 2017 provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. The option is subject to an early exercise provision and is immediately exercisable.
The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting on May 23, 2017, and the remainder vesting at a rate of 1/36th per month commencing upon the one-year anniversary of May 23, 2017, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. The option is subject to an early exercise provision and is immediately exercisable.
The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting on July 5, 2017, and the remainder vesting at a rate of 1/36th per month commencing upon the one-year anniversary of July 5, 2017, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer. The option is subject to an early exercise provision and is immediately exercisable.