Form 4 for AX Axos Financial, Inc.
Accepted 2022-09-02 00:00:00 ET · period of report 2022-08-31 · accession 0001299709-22-000216 · 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 | 2022-09-02 | 2022-08-31 | AX | Dada Uzair | Dir | M - OptEx | $41.78 | +4,667 | 22.4K | +26% | +$195.0K |
| D | 2022-09-02 | 2022-09-01 | AX | Dada Uzair | Dir | S - Sale+OE | $40.60 | -2,334 | 20.1K | -10% | -$94.8K |
| D | 2022-09-02 | 2022-08-31 | AX | Dada Uzair | Dir | M - OptEx | $0.00 | -4,667 | 12.7K | -27% | $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 | 2022-08-31 | M | A | 4,667 | $41.78 | 22,407 | D | — | — | (F1) Represents shares of Common Stock issued on August 31, 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. |
| 2 | Common | Common Stock | 2022-09-01 | S | D | 2,334 | $40.60 | 20,073 | D | — | — | (F3) These transactions were executed in multiple trades, at prices ranging from $40.36 to $41.34. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold and the prices at which each trade was effected. |
| 3 | Derivative | Restricted Stock Units | 2022-08-31 | M | D | 4,667 | $0.00 | 12,667 | D | — · — to — | 4,667 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. |