Filing Details

Accession Number:
0001562180-23-000872
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-02-02 20:06:13
Reporting Period:
2023-01-31
Accepted Time:
2023-02-02 20:06:13
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
1756240 Karen Noblett 26 Technology Drive
Irvine CA 92618
Chief Medical 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 2023-01-31 5,000 $0.00 36,599 No 4 A Direct
Common Stock Acquisiton 2023-01-31 10,250 $0.00 46,849 No 4 M Direct
Common Stock Disposition 2023-01-31 2,167 $61.17 44,682 No 4 S Direct
Common Stock Disposition 2023-01-31 1,536 $61.12 43,146 No 4 S Direct
Common Stock Disposition 2023-02-01 136 $60.43 43,010 No 4 S Direct
Common Stock Disposition 2023-02-01 795 $61.02 42,215 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S 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 2023-01-31 15,000 $0.00 15,000 $0.00
Common Stock Performance-Based Restricted Stock Units Acquisiton 2023-01-31 5,000 $0.00 5,000 $0.00
Common Stock Performance-Based Restricted Stock Units Disposition 2023-01-31 4,250 $0.00 4,250 $0.00
Common Stock Performance-Based Restricted Stock Units Disposition 2023-01-31 6,000 $0.00 6,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
15,000 2024-01-31 No 4 A Direct
5,000 2025-01-31 No 4 A Direct
0 2023-01-31 No 4 M Direct
0 2023-01-31 No 4 M Direct
Footnotes
  1. 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.
  2. This transaction was executed in multiple trades at prices ranging from $60.78 to $61.595. 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 $60.78 to $61.60. 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 $59.85 to $60.845. 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. This transaction was executed in multiple trades at prices ranging from $60.85 to $61.58. 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.
  6. 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, 2023 and provided the reporting person remains in continuous service through January 31, 2024.
  7. 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, 2025, and provided the reporting person remains in continuous service through January 31, 2025.
  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, 2022 and provided the reporting person remains in continuous service through January 31, 2023.
  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.