Form 4 for AX Axos Financial, Inc.
Accepted 2024-09-17 00:00:00 ET · period of report 2024-09-15 · accession 0001299709-24-000179 · 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 | 2024-09-17 | 2024-09-15 | AX | Swanson Brian D | EVP, Head of Consumer Bank | M - OptEx | $63.20 | +1,399 | 50.6K | +3% | +$88.4K |
| D | 2024-09-17 | 2024-09-15 | AX | Swanson Brian D | EVP, Head of Consumer Bank | D - Sale to Iss | $63.20 | -751 | 49.8K | -1% | -$47.5K |
| D | 2024-09-17 | 2024-09-15 | AX | Swanson Brian D | EVP, Head of Consumer Bank | A - Grant | $0.00 | +2,690 | 18.1K | +17% | $0 |
| D | 2024-09-17 | 2024-09-15 | AX | Swanson Brian D | EVP, Head of Consumer Bank | M - OptEx | $0.00 | -1,399 | 16.7K | -8% | $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 | 2024-09-15 | M | A | 1,399 | $63.20 | 50,598 | D | — | — | (F1) Represents shares of Common Stock issued on September 15, 2024, 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 Amended and Restated 2014 Stock Incentive Plan. |
| 2 | Common | Common Stock | 2024-09-15 | D | D | 751 | $63.20 | 49,847 | 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 | 2024-09-15 | A | A | 2,690 | $0.00 | 18,130 | D | — · — to — | 2,690 Common Stock | (F3) Grant to the reporting person on September 15, 2024 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. (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. |
| 4 | Derivative | Restricted Stock Units | 2024-09-15 | M | D | 1,399 | $0.00 | 16,731 | D | — · — to — | 1,399 Common Stock | (F6) 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. |