Form 4 for AX Axos Financial, Inc.
Accepted 2024-12-18 00:00:00 ET · period of report 2024-12-15 · accession 0001299709-24-000262 · 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 | 2024-12-18 | 2024-12-15 | AX | Wardell-Smith Sara | Dir | M - OptEx | $79.62 | +4,500 | 9,500 | +90% | +$358.3K |
| D | 2024-12-18 | 2024-12-15 | AX | Wardell-Smith Sara | Dir | D - Sale to Iss | $79.62 | -2,250 | 7,250 | -24% | -$179.1K |
| D | 2024-12-18 | 2024-12-15 | AX | Wardell-Smith Sara | Dir | M - OptEx | $0.00 | -4,500 | 4,289 | -51% | $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 | 2024-12-15 | M | A | 4,500 | $79.62 | 9,500 | D | — | — | (F1) Represents shares of Common Stock issued on December 15, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. |
| 2 | Common | Common Stock | 2024-12-15 | D | D | 2,250 | $79.62 | 7,250 | D | — | — | (F2) 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 | Derivative | Restricted Stock Units | 2024-12-15 | M | D | 4,500 | $0.00 | 4,289 | D | — · — to — | 4,500 Common Stock | (F3) 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. (F4) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F5) The RSUs fully vest on the anniversary date of grant. |