Filing Details

Accession Number:
0001299709-22-000213
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-09-02 20:46:15
Reporting Period:
2022-08-31
Accepted Time:
2022-09-02 20:46:15
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
1591372 D Stefani Carter 9205 West Russell Road
Suite 400
Las Vegas NV 89148
Yes No No No
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 Acquisiton 2022-08-31 2,000 $41.78 2,000 No 4 M Direct
Common Stock Disposition 2022-09-01 1,000 $40.63 1,000 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2022-08-31 2,000 $0.00 2,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
10,000 No 4 M Direct
Footnotes
  1. Represents shares of Common Stock issued on August 31, 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.
  2. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
  3. These transactions were executed in multiple trades, at prices ranging from $40.43 to $41.34. 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.
  4. The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors.
  5. The RSUs vest as to one-third of the shares on each anniversary date of grant.