Form 4 for AX Axos Financial, Inc.
Accepted 2023-09-05 00:00:00 ET · period of report 2023-08-31 · accession 0001299709-23-000230 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-09-05 | 2023-08-31 | AX | Ratinoff Edward James | Dir | D - Sale to Iss | $43.09 | -2,332 | 49.2K | -5% | -$100.5K |
| DM | 2023-09-05 | 2023-08-31 | AX | Ratinoff Edward James | Dir | M - OptEx | $43.09 | +4,667 | 51.5K | +10% | +$201.1K |
| D | 2023-09-05 | 2023-08-31 | AX | Ratinoff Edward James | Dir | A - Grant | $0.00 | +6,000 | 12.7K | +90% | $0 |
| DM | 2023-09-05 | 2023-08-31 | AX | Ratinoff Edward James | Dir | M - OptEx | $0.00 | -4,667 | 10.7K | -30% | $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 | 2023-08-31 | D | D | 999 | $43.09 | 50,542 | 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 | 2023-08-31 | M | A | 2,000 | $43.09 | 48,874 | D | — | — | (F1) Represents shares of Common Stock issued on August 31, 2023, 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. |
| 3 | Common | Common Stock | 2023-08-31 | D | D | 1,333 | $43.09 | 49,209 | 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. |
| 4 | Common | Common Stock | 2023-08-31 | M | A | 2,667 | $43.09 | 51,541 | D | — | — | (F1) Represents shares of Common Stock issued on August 31, 2023, 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. |
| 5 | Derivative | Restricted Stock Units | 2023-08-31 | A | A | 6,000 | $0.00 | 12,667 | D | — · — to — | 6,000 Common Stock | (F3) Grant to the reporting person on August 31, 2023 of restricted stock units ("RSUs") 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. (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. |
| 6 | Derivative | Restricted Stock Units | 2023-08-31 | M | D | 2,667 | $0.00 | 8,000 | D | — · — to — | 2,667 Common Stock | (F6) 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. (F7) The RSUs vest as to one-third of the shares on each anniversary date of grant. |
| 7 | Derivative | Restricted Stock Units | 2023-08-31 | M | D | 2,000 | $0.00 | 10,667 | D | — · — to — | 2,000 Common Stock | (F6) 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. (F7) The RSUs vest as to one-third of the shares on each anniversary date of grant. |