Filing Details

Accession Number:
0001562180-21-000701
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-02-01 21:49:16
Reporting Period:
2021-01-28
Accepted Time:
2021-02-01 21:49:16
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
1756437 John Woock 26 Technology Drive
Irvine CA 92618
Chief Marketing Officer No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2021-01-28 7,571 $52.75 63,319 No 4 S Direct
Common Stock Disposition 2021-01-28 7,129 $53.69 56,190 No 4 S Direct
Common Stock Disposition 2021-01-28 300 $54.43 55,890 No 4 S Direct
Common Stock Acquisiton 2021-01-31 5,625 $0.00 61,515 No 4 A Direct
Common Stock Acquisiton 2021-02-01 5,334 $0.00 66,849 No 4 M Direct
Common Stock Disposition 2021-02-01 1,917 $51.36 64,932 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 A Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Performance-Based Restricted Stock Units Acquisiton 2021-01-31 10,000 $0.00 10,000 $0.00
Common Stock Performance-Based Restricted Stock Units Acquisiton 2021-01-31 5,625 $0.00 5,625 $0.00
Common Stock Performance-Based Restricted Stock Units Disposition 2021-02-01 2,667 $0.00 5,334 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,000 2022-01-31 No 4 A Direct
5,625 2023-01-31 No 4 A Direct
0 No 4 M Direct
Footnotes
  1. This sale was pursuant to a 10b5-1 plan adopted by the reporting person on June 22, 2020.
  2. This transaction was executed in multiple trades at prices ranging from $52.23 to $53.19. 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.
  3. This transaction was executed in multiple trades at prices ranging from $53.24 to $54.19. 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.
  4. This transaction was executed in multiple trades at prices ranging from $54.33 to $54.48. 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.
  5. The number of Performance-Based Restricted Stock Units represents the target number of Performance-Based Restricted Stock Units that were granted to the reporting person on the date of grant, each of which represents the contingent right to receive one share of common stock, subject to the conditions set forth in the award agreement. Per the terms of the award agreement governing the Performance-Based Restricted Stock Units, the number of Performance-Based Restricted Stock Units to which the reporting person may ultimately become entitled ranges from 0% to 200% of the target number of Performance-Based Restricted Stock Units granted, based upon the total shareholder return of the Issuer's common stock relative to its peer group index over a performance period consisting of the two fiscal years ending December 31, 2020, and provided the reporting person remains in continuous service through January 30, 2021. The awards were earned at 200% of the target number on January 31, 2021.
  6. Shares of Issuer's common stock sold to cover the reporting person's tax obligation in connection with the conversion of the Performance-Based Restricted Stock Units disclosed herein.
  7. This transaction was executed in multiple trades at prices ranging from $51.03 to $52.00. 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.
  8. Each Performance-Based Restricted Stock Unit represents the contingent right to receive one share of common stock, subject to the Issuer's achievement of certain operational and performance objectives during the fiscal year ending December 31, 2021 and provided the reporting person remains in continuous service through January 31, 2022.
  9. The number of Performance-Based Restricted Stock Units represents the target number of Performance-Based Restricted Stock Units that were granted to the reporting person on the date of grant, each of which represents the contingent right to receive one share of common stock, subject to the conditions set forth in the award agreement. Per the terms of the award agreement governing the Performance-Based Restricted Stock Units, the number of Performance-Based Restricted Stock Units to which the reporting person may ultimately become entitled ranges from 0% to 200% of the target number of Performance-Based Restricted Stock Units granted, based upon the total shareholder return of the Issuer's common stock relative to its peer group index over a performance period consisting of the two fiscal years ending January 31, 2023, and provided the reporting person remains in continuous service through January 31, 2023.