Form 4 for AX Axos Financial, Inc.
Accepted 2023-09-05 00:00:00 ET · period of report 2023-08-31 · accession 0001299709-23-000232 · 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 | 2023-09-05 | 2023-08-31 | AX | Swanson Brian D | EVP, Head of Consumer Bank | M - OptEx | $43.09 | +3,176 | 47.5K | +7% | +$136.9K |
| D | 2023-09-05 | 2023-08-31 | AX | Swanson Brian D | EVP, Head of Consumer Bank | D - Sale to Iss | $43.09 | -1,672 | 45.9K | -4% | -$72.0K |
| D | 2023-09-05 | 2023-08-31 | AX | Swanson Brian D | EVP, Head of Consumer Bank | M - OptEx | $0.00 | -3,176 | 15.1K | -17% | $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 | M | A | 3,176 | $43.09 | 47,550 | 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. |
| 2 | Common | Common Stock | 2023-08-31 | D | D | 1,672 | $43.09 | 45,878 | D | — | — | (F2) Represents shares of Common Stock retained by Axos Financial, Inc. for tax withholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSUs. |
| 3 | Derivative | Restricted Stock Units | 2023-08-31 | M | D | 3,176 | $0.00 | 15,053 | D | — · — to — | 3,176 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. (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. |