AXON (NASDAQ) Form 144: Broker lists 274, 56, 600 vested shares

Rhea-AI Filing Summary

AXON Form 144 resale notice lists restricted stock vesting events and planned sales by a broker-dealer representative. The filing itemizes three restricted stock vesting entries dated 05/20/2023, 05/27/2023, and 05/29/2023 with quantities 274, 56, and 600 respectively. The form names Morgan Stanley Smith Barney LLC Executive Financial Services as the broker/dealer handling the securities and references NASDAQ.

Insights

Securities Compliance Attorney

Form 144 lists resale notices tied to restricted stock vesting; sale timing depends on applicable rules.

The excerpt shows restricted stock vesting dates of 05/20/2023 (274 shares), 05/27/2023 (56 shares), and 05/29/2023 (600 shares). These entries are typical prerequisites for resale under Rule 144.

Cash‑flow treatment and exact sale dates are not specified in the excerpt; subsequent transaction filings or broker-dealer confirmations would show execution details.

Equity Transactions Analyst

The filing records modest per-event share quantities through a broker-dealer, suggesting routine, non-material resale activity.

The broker-dealer listed is Morgan Stanley Smith Barney LLC Executive Financial Services and the market venue is NASDAQ. The quantities shown are 274, 56, and 600 shares on the respective vesting dates.

Impact on outstanding float or ownership is not provided in the excerpt; any materiality assessment requires outstanding share counts or aggregate resale amounts in related filings.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	930	497879.41	80397675	02/27/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/20/2023	Restricted stock vesting under a registered plan	Issuer			274	05/20/2023	Services Rendered
Common	05/29/2023	Restricted stock vesting under a registered plan	Issuer			600	05/29/2023	Services Rendered
Common	05/27/2023	Restricted stock vesting under a registered plan	Issuer			56	05/27/2023	Services Rendered

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does AXON's Form 144 disclose about the securities?

The form lists restricted stock vesting entries and planned resales. It shows 274, 56, and 600 shares vesting on 05/20/2023, 05/27/2023, and 05/29/2023, respectively.

Who is the broker-dealer handling the AXON resale according to the filing?

The filing names Morgan Stanley Smith Barney LLC Executive Financial Services as the broker-dealer. The excerpt associates the transactions with NASDAQ as the market venue.

Does the Form 144 show when the shares were sold for AXON?

The excerpt lists vesting dates only and planned resale intent; it does not provide execution dates or sale proceeds. Exact sale timing and proceeds are not included in the provided content.

Are the quantities in AXON's Form 144 large relative to company size?

The excerpt shows share quantities of 274, 56, and 600. The filing does not provide outstanding share counts or float, so materiality relative to company size cannot be determined here.