Form 4/A for AX Axos Financial, Inc.
Accepted 2023-09-22 00:00:00 ET · period of report 2023-08-31 · accession 0001299709-23-000258 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MA | 2023-09-22 | 2023-08-31 | AX | Grinberg Paul | Dir | D - Sale to Iss | $43.09 | -6,723 | 134.9K | -5% | -$289.7K |
| MA | 2023-09-22 | 2023-08-31 | AX | Grinberg Paul | Dir | M - OptEx | $43.09 | +13.4K | 130.5K | +11% | +$579.6K |
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 | 3,699 | $43.09 | 131,194 | D | — | — | (F1) The original Form 4, filed on September 5, 2023, is being amended by this Form 4 Amendment to increase the total number of shares held by the reporting person by 45,850 shares as a result of an error on a previous Form 4 as follows: on December 30, 2020, the reporting person filed a Form 4 which mistakenly reported that, following the gift, the reporting person would not retain beneficial ownership in the 45,850 shares subject to the gift. These shares were also omitted in the reporting person's beneficial ownership reports filed thereafter. (F3) 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 | D | D | 3,024 | $43.09 | 134,893 | D | — | — | (F1) The original Form 4, filed on September 5, 2023, is being amended by this Form 4 Amendment to increase the total number of shares held by the reporting person by 45,850 shares as a result of an error on a previous Form 4 as follows: on December 30, 2020, the reporting person filed a Form 4 which mistakenly reported that, following the gift, the reporting person would not retain beneficial ownership in the 45,850 shares subject to the gift. These shares were also omitted in the reporting person's beneficial ownership reports filed thereafter. (F3) 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. |
| 3 | Common | Common Stock | 2023-08-31 | M | A | 7,400 | $43.09 | 137,917 | D | — | — | (F1) The original Form 4, filed on September 5, 2023, is being amended by this Form 4 Amendment to increase the total number of shares held by the reporting person by 45,850 shares as a result of an error on a previous Form 4 as follows: on December 30, 2020, the reporting person filed a Form 4 which mistakenly reported that, following the gift, the reporting person would not retain beneficial ownership in the 45,850 shares subject to the gift. These shares were also omitted in the reporting person's beneficial ownership reports filed thereafter. (F2) 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. |
| 4 | Common | Common Stock | 2023-08-31 | M | A | 6,050 | $43.09 | 130,517 | D | — | — | (F1) The original Form 4, filed on September 5, 2023, is being amended by this Form 4 Amendment to increase the total number of shares held by the reporting person by 45,850 shares as a result of an error on a previous Form 4 as follows: on December 30, 2020, the reporting person filed a Form 4 which mistakenly reported that, following the gift, the reporting person would not retain beneficial ownership in the 45,850 shares subject to the gift. These shares were also omitted in the reporting person's beneficial ownership reports filed thereafter. (F2) 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. |