Filing Details
- Accession Number:
- 0001562180-20-001828
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-28 21:49:04
- Reporting Period:
- 2020-02-26
- Accepted Time:
- 2020-02-28 21:49:04
- 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
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-02-26 | 8,000 | $0.98 | 24,388 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-26 | 8,000 | $37.01 | 16,388 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-02-26 | 7,853 | $37.01 | 8,535 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | Stock Option (Right to Buy) | Disposition | 2020-02-26 | 8,000 | $0.00 | 8,000 | $0.98 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 129,381 | 2026-01-15 | No | 4 | M | Direct |
Footnotes
- This sale was pursuant to a 10b5-1 plan adopted by the reporting person on October 10, 2019.
- This transaction was executed in multiple trades at prices ranging from $37.00 to $37.06. 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 $37.055. 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 December 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.
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