Form 4 for AX Axos Financial, Inc.
Accepted 2023-09-26 00:00:00 ET · period of report 2023-09-23 · accession 0001299709-23-000279 · 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 | 2023-09-26 | 2023-09-23+ | AX | Walsh Derrick | EVP, CFO | D - Sale to Iss | $38.28 | -3,555 | 32.7K | -10% | -$136.1K |
| DM | 2023-09-26 | 2023-09-23+ | AX | Walsh Derrick | EVP, CFO | M - OptEx | $38.28 | +6,755 | 34.4K | +24% | +$258.6K |
| DM | 2023-09-26 | 2023-09-23+ | AX | Walsh Derrick | EVP, CFO | M - OptEx | $0.00 | -6,755 | 27.5K | -20% | $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 | 2023-09-24 | D | D | 752 | $38.28 | 32,321 | 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. |
| 2 | Common | Common Stock | 2023-09-23 | D | D | 1,049 | $38.28 | 31,644 | 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 | Common | Common Stock | 2023-09-24 | M | A | 1,429 | $38.28 | 33,073 | D | — | — | (F3) Represents shares of Common Stock issued on September 24, 2023 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 Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's employment agreement as Chief Financial Officer. |
| 4 | Common | Common Stock | 2023-09-23 | M | A | 3,333 | $38.28 | 32,454 | D | — | — | (F1) Represents shares of Common Stock issued on September 23, 2023 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 Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's employment agreement as Chief Financial Officer. |
| 5 | Common | Common Stock | 2023-09-23 | M | A | 1,993 | $38.28 | 34,447 | D | — | — | (F1) Represents shares of Common Stock issued on September 23, 2023 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 Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's employment agreement as Chief Financial Officer. |
| 6 | Common | Common Stock | 2023-09-23 | D | D | 1,754 | $38.28 | 32,693 | 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. |
| 7 | Derivative | Restricted Stock Units | 2023-09-23 | M | D | 1,993 | $0.00 | 25,547 | D | — · — to — | 1,993 Common Stock | (F4) 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. (F5) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F6) The RSUs vest as to one-third of the shares on each anniversary date of grant. |
| 8 | Derivative | Restricted Stock Units | 2023-09-24 | M | D | 1,429 | $0.00 | 24,118 | D | — · — to — | 1,429 Common Stock | (F4) 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. (F5) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F6) The RSUs vest as to one-third of the shares on each anniversary date of grant. |
| 9 | Derivative | Restricted Stock Units | 2023-09-23 | M | D | 3,333 | $0.00 | 27,540 | D | — · — to — | 3,333 Common Stock | (F4) 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. (F5) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F6) The RSUs vest as to one-third of the shares on each anniversary date of grant. |