Form 4 for AX Axos Financial, Inc.

Accepted 2021-09-09 00:00:00 ET · period of report 2021-09-05 · accession 0001299709-21-000237 · 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	2021-09-09	2021-09-05	AX	Ratinoff Edward James	Dir	M - OptEx	$0.00	+2,667	41.5K	+7%	$0
D	2021-09-09	2021-09-05	AX	Ratinoff Edward James	Dir	D - Sale to Iss	$47.16	-1,341	40.2K	-3%	-$63.2K
D	2021-09-09	2021-09-05	AX	Ratinoff Edward James	Dir	M - OptEx	$0.00	-2,667	14.0K	-16%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-09-05	M	A	2,667	$0.00	41,549	D	—	—	(F1) Represents shares of Common Stock issued on September 5, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest as to one-third of the shares on each anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. (F2) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
2	Common	Common Stock	2021-09-05	D	D	1,341	$47.16	40,208	D	—	—	(F3) Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs.
3	Derivative	Restricted Stock Units	2021-09-05	M	D	2,667	$0.00	14,001	D	— · — to —	2,667 Common Stock	(F4) 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. (F2) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F5) The RSUs vest as to one-third of the shares on each anniversary date of grant.