Form 4 for AX Axos Financial, Inc.
Accepted 2021-09-01 00:00:00 ET · period of report 2021-08-31 · accession 0001299709-21-000193 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-09-01 | 2021-08-31 | AX | Dada Uzair | Dir | M - OptEx | $48.48 | +2,666 | 16.4K | +19% | +$129.2K |
| D | 2021-09-01 | 2021-08-31 | AX | Dada Uzair | Dir | F - Tax | $48.48 | -1,340 | 15.1K | -8% | -$65.0K |
| D | 2021-09-01 | 2021-08-31 | AX | Dada Uzair | Dir | A - Grant | $0.00 | +6,000 | 16.7K | +56% | $0 |
| D | 2021-09-01 | 2021-08-31 | AX | Dada Uzair | Dir | M - OptEx | $0.00 | -2,666 | 10.7K | -20% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-31 | M | A | 2,666 | $48.48 | 16,421 | D | — | — | (F1) Represents shares of Common Stock issued on August 31, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. |
| 2 | Common | Common Stock | 2021-08-31 | F | D | 1,340 | $48.48 | 15,081 | D | — | — | (F1) Represents shares of Common Stock issued on August 31, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. (F2) Represents shares of Common Stock retained by Axos Financial, Inc. for tax withholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSUs. |
| 3 | Derivative | Restricted Stock Units | 2021-08-31 | A | A | 6,000 | $0.00 | 16,668 | D | — · — to — | 6,000 Common Stock | (F5) Grant to the reporting person on August 31, 2021 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. (F6) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F4) The RSUs vest over three years, one-third on each anniversary date of grant. |
| 4 | Derivative | Restricted Stock Units | 2021-08-31 | M | D | 2,666 | $0.00 | 10,668 | D | — · — to — | 2,666 Common Stock | (F3) The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F4) The RSUs vest over three years, one-third on each anniversary date of grant. |