Filing Details
- Accession Number:
- 0001562180-20-006532
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-11-03 20:33:29
- Reporting Period:
- 2020-10-29
- Accepted Time:
- 2020-11-03 20:33:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1756399 | Rinda Sama | 26 Technology Drive Irvine CA 92618 | Chief Operating 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 | 2020-10-29 | 7,373 | $14.19 | 127,374 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-10-29 | 2,627 | $1.63 | 130,001 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-10-29 | 2,863 | $14.19 | 132,864 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-10-29 | 6,200 | $47.71 | 126,664 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-10-29 | 3,800 | $48.12 | 122,864 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-10-29 | 2,863 | $48.60 | 120,001 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-10-30 | 6,037 | $47.81 | 113,964 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-10-30 | 1,100 | $48.54 | 112,864 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-11-03 | 300 | $50.00 | 112,564 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | Stock Option (Right to Buy) | Disposition | 2020-10-29 | 7,373 | $0.00 | 7,373 | $14.19 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-10-29 | 2,863 | $0.00 | 2,863 | $14.19 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-10-29 | 2,627 | $0.00 | 2,627 | $1.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 48,112 | 2029-01-30 | No | 4 | M | Direct | |
| 45,249 | 2029-01-30 | No | 4 | M | Direct | |
| 8,916 | 2028-03-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,000 | Indirect | By Spouse |
Footnotes
- This sale was pursuant to a 10b5-1 plan adopted by the reporting person on September 22, 2020.
- This transaction was executed in multiple trades at prices ranging from $47.01 to $48.00. 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.
- This transaction was executed in multiple trades at prices ranging from $48.01 to $48.50. 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 $47.35 to $48.28. 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 $48.42 to $48.63. 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 vesting on January 30th, 2020, and the remainder vesting at a rate of 1/36th per month commencing upon the one-year anniversary of January 30th, 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.
- 25% of the Total Number of Shares shall vest upon the Vesting Commencement Date. The remainder shall vest at a rate of 1/36th per month commencing upon the one-year anniversary of the Vesting Commencement Date beginning on 30-Mar-2018
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