Form 4 for AX Axos Financial, Inc.
Accepted 2022-09-27 00:00:00 ET · period of report 2022-09-23 · accession 0001299709-22-000271 · 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 | 2022-09-27 | 2022-09-24 | AX | Walsh Derrick | EVP, CFO | D - Sale to Iss | $36.80 | -752 | 26.0K | -3% | -$27.7K |
| D | 2022-09-27 | 2022-09-24 | AX | Walsh Derrick | EVP, CFO | M - OptEx | $36.80 | +1,429 | 26.8K | +6% | +$52.6K |
| D | 2022-09-27 | 2022-09-23 | AX | Walsh Derrick | EVP, CFO | A - Grant | $0.00 | +5,979 | 27.6K | +28% | $0 |
| D | 2022-09-27 | 2022-09-24 | AX | Walsh Derrick | EVP, CFO | M - OptEx | $0.00 | -1,429 | 26.2K | -5% | $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 | 2022-09-24 | D | D | 752 | $36.80 | 26,034 | D | — | — | (F2) 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. |
| 2 | Common | Common Stock | 2022-09-24 | M | A | 1,429 | $36.80 | 26,786 | D | — | — | (F1) Represents shares of Common Stock issued on September 24, 2022 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 in connection with the reporting person's employment agreement as Chief Financial Officer. |
| 3 | Derivative | Restricted Stock Units | 2022-09-23 | A | A | 5,979 | $0.00 | 27,633 | D | — · — to — | 5,979 Common Stock | (F3) Grant to the reporting person on September 23, 2022 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 stock incentive plan in connection with the reporting person's employment contract as Chief Financial Officer. (F4) 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. |
| 4 | Derivative | Restricted Stock Units | 2022-09-24 | M | D | 1,429 | $0.00 | 26,204 | D | — · — to — | 1,429 Common Stock | (F6) The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's employment agreement as Chief Financial Officer. (F4) 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. |