Form 4 for AX Axos Financial, Inc.
Accepted 2021-09-01 00:00:00 ET · period of report 2021-08-31 · accession 0001299709-21-000209 · 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 | Micheletti Andrew J | EVP, CFO | F - Tax | $48.48 | -5,783 | 547.3K | -1% | -$280.4K |
| D | 2021-09-01 | 2021-08-31 | AX | Micheletti Andrew J | EVP, CFO | M - OptEx | $48.48 | +11.0K | 553.1K | +2% | +$533.3K |
| D | 2021-09-01 | 2021-08-31 | AX | Micheletti Andrew J | EVP, CFO | M - OptEx | $0.00 | -11.0K | 88.0K | -11% | $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 | F | D | 5,783 | $48.48 | 547,301 | 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. |
| 2 | Common | Common Stock | 2021-08-31 | M | A | 11,000 | $48.48 | 553,084 | 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. |
| 3 | Derivative | Restricted Stock Units | 2021-08-31 | M | D | 11,000 | $0.00 | 88,000 | D | — · — to — | 11,000 Common Stock | (F3) The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs are accompanied by dividend equivalent rights. (F4) The RSUs vest over three years, one-third on each anniversary date of grant. |