Form 4 for AX Axos Financial, Inc.
Accepted 2024-11-15 00:00:00 ET · period of report 2024-11-14 · accession 0001299709-24-000249 · 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 | 2024-11-15 | 2024-11-15 | AX | Nick Mosich | Dir | S - Sale | $80.00 | -5,102 | 87.4K | -6% | -$408.2K |
| D | 2024-11-15 | 2024-11-14 | AX | Nick Mosich | Dir | A - Grant | $0.00 | +5,443 | 5,443 | New | $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 | 2024-11-15 | S | D | 5,102 | $80.00 | 87,357 | D | — | — | (F1) These transactions were executed in multiple trades, at prices ranging from $80.00 to $80.01. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold and the prices at which each trade was effected. |
| 2 | Derivative | Restricted Stock Units | 2024-11-14 | A | A | 5,443 | $0.00 | 5,443 | D | — · — to — | 5,443 Common Stock | (F2) 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. The number of RSUs granted reflected a change in the compensation applicable to the nonemployee members of the Board of Directors to: (a) change the annual grant date from August of each year to the date of the annual meeting of the stockholders of Axos Financial, Inc.; (b) be based on certain approved dollar amounts (which for certain directors include premiums for service as chairman or vice chairman of the Board of Directors or its committees), divided by the closing stock price on the grant date; and (c) include additional amounts for this year?s grants in light of the delayed grant date for the current year. (F3) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F4) The RSUs fully vest on the anniversary date of grant. |