Form 4 for AX Axos Financial, Inc.
Accepted 2023-08-17 00:00:00 ET · period of report 2023-08-15 · accession 0001299709-23-000170 · 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 | 2023-08-17 | 2023-08-15 | AX | Ratinoff Edward James | Dir | D - Sale to Iss | $41.42 | -3,000 | 46.9K | -6% | -$124.3K |
| D | 2023-08-17 | 2023-08-15 | AX | Ratinoff Edward James | Dir | M - OptEx | $41.42 | +6,000 | 49.9K | +14% | +$248.5K |
| D | 2023-08-17 | 2023-08-15 | AX | Ratinoff Edward James | Dir | M - OptEx | $0.00 | -6,000 | 6,667 | -47% | $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 | 2023-08-15 | D | D | 3,000 | $41.42 | 46,874 | 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 | 2023-08-15 | M | A | 6,000 | $41.42 | 49,874 | D | — | — | (F1) Represents shares of Common Stock issued on August 15, 2023, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. |
| 3 | Derivative | Restricted Stock Units | 2023-08-15 | M | D | 6,000 | $0.00 | 6,667 | D | — · — to — | 6,000 Common Stock | (F3) The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. (F4) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F5) The RSUs fully vest on the anniversary date of grant. |