Form 4 for AX Axos Financial, Inc.
Accepted 2022-08-03 00:00:00 ET · period of report 2022-08-01 · accession 0001299709-22-000129 · 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 | 2022-08-03 | 2022-08-01 | AX | Dada Uzair | Dir | M - OptEx | $42.10 | +2,667 | 19.1K | +16% | +$112.3K |
| D | 2022-08-03 | 2022-08-02 | AX | Dada Uzair | Dir | S - Sale+OE | $41.88 | -1,334 | 17.7K | -7% | -$55.9K |
| D | 2022-08-03 | 2022-08-01 | AX | Dada Uzair | Dir | M - OptEx | $0.00 | -2,667 | 11.3K | -19% | $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 | 2022-08-01 | M | A | 2,667 | $42.10 | 19,074 | D | — | — | (F1) Represents shares of Common Stock issued on August 01, 2022, 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. |
| 2 | Common | Common Stock | 2022-08-02 | S | D | 1,334 | $41.88 | 17,740 | D | — | — | |
| 3 | Derivative | Restricted Stock Units | 2022-08-01 | M | D | 2,667 | $0.00 | 11,334 | D | — · — to — | 2,667 Common Stock | (F2) 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. (F3) The RSUs vest as to one-third of the shares on each anniversary date of grant. |