Form 4 for AX Axos Financial, Inc.
Accepted 2022-08-31 00:00:00 ET · period of report 2022-08-28 · accession 0001299709-22-000191 · 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 | 2022-08-31 | 2022-08-28 | AX | PITTERS RON | SVP, Head of Axos Securities | D - Sale to Iss | $43.49 | -414 | 12.6K | -3% | -$18.0K |
| D | 2022-08-31 | 2022-08-28 | AX | PITTERS RON | SVP, Head of Axos Securities | M - OptEx | $43.49 | +1,200 | 13.0K | +10% | +$52.2K |
| D | 2022-08-31 | 2022-08-28 | AX | PITTERS RON | SVP, Head of Axos Securities | M - OptEx | $0.00 | -1,200 | 7,861 | -13% | $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 | 2022-08-28 | D | D | 414 | $43.49 | 12,566 | D | — | — | (F1) Represents shares of Common Stock issued on August 28, 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 | 2022-08-28 | M | A | 1,200 | $43.49 | 12,980 | D | — | — | (F1) Represents shares of Common Stock issued on August 28, 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. (F2) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. |
| 3 | Derivative | Restricted Stock Units | 2022-08-28 | M | D | 1,200 | $0.00 | 7,861 | D | $0.00 · — to — | 1,200 Common Stock | (F3) The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. The RSUs are accompanied by dividend equivalent rights. (F2) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F4) The RSUs vest as to one-third of the shares on each anniversary date of grant. |