Filing Details
- Accession Number:
- 0001562180-23-000520
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-01-19 20:07:10
- Reporting Period:
- 2023-01-17
- Accepted Time:
- 2023-01-19 20:07:10
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1603756 | Axonics 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 | Evp, Chief Mktg/Strtgy 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 | Acquisiton | 2023-01-17 | 2,793 | $1.32 | 48,769 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-17 | 2,793 | $67.62 | 45,976 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-01-17 | 378 | $1.42 | 46,354 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-17 | 378 | $67.51 | 45,976 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-01-17 | 15,000 | $14.19 | 60,976 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-17 | 15,000 | $67.29 | 45,976 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2023-01-17 | 12,044 | $25.82 | 58,020 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-01-17 | 12,044 | $67.32 | 45,976 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | Stock Options (Right to buy) | Disposition | 2023-01-17 | 12,044 | $0.00 | 12,044 | $25.82 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2023-01-17 | 15,000 | $0.00 | 15,000 | $14.19 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2023-01-17 | 378 | $0.00 | 378 | $1.42 |
| Common Stock | Stock Options (Right to buy) | Disposition | 2023-01-17 | 2,793 | $0.00 | 2,793 | $1.32 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,581 | 2029-12-12 | No | 4 | M | Direct | |
| 15,555 | 2029-01-30 | No | 4 | M | Direct | |
| 0 | 2027-08-25 | No | 4 | M | Direct | |
| 0 | 2027-07-05 | No | 4 | M | Direct |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $67.17 to $67.71. 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 will vest over a period of four years, with 1/4th of the shares subject to the option vested on December 12, 2020 and the remainder vest at a rate of 1/36th per month commencing on January 1, 2021, 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 vested on January 30, 2020, and the remainder vest at a rate of 1/36th per month commencing on February 1, 2020, 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 vested on August 25, 2018 and the remainder vest at a rate of 1/36th per month commencing on September 1, 2018, 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 vested on July 5, 2018 and the remainder vest at a rate of 1/36th per month commencing on August 1, 2018, 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.
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