Filing Details
- Accession Number:
- 0001299709-22-000176
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-08-29 20:16:47
- Reporting Period:
- 2022-08-25
- Accepted Time:
- 2022-08-29 20:16:47
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1299709 | Axos Financial Inc. | AX | Savings Institution, Federally Chartered (6035) | 330867444 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1778031 | M Thomas Constantine | 9205 West Russell Road Suite 400 Las Vegas NV 89148 | No | No | No | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2022-08-25 | 1,554 | $44.12 | 10,123 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2022-08-25 | 1,358 | $44.65 | 11,481 | No | 4 | M | Direct | |
Common Stock | Disposition | 2022-08-25 | 715 | $44.65 | 10,766 | No | 4 | D | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | D | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Restricted Stock Units | Disposition | 2022-08-25 | 1,358 | $0.00 | 1,358 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
19,268 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 2,032 | Indirect | 401(k) Plan |
Footnotes
- These transactions were executed in multiple trades, at prices ranging from $44.12 to $44.15. 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.
- Represents shares of Common Stock issued on August 25, 2022, 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.
- Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
- 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.
- 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.
- The RSUs vest as to one-third of the shares on each anniversary date of grant.