Filing Details
- Accession Number:
- 0001299709-22-000223
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-09-02 20:48:27
- Reporting Period:
- 2022-08-31
- Accepted Time:
- 2022-09-02 20:48:27
- 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 |
|---|---|---|---|---|---|---|---|
| 1500191 | James Edward Ratinoff | 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 | 4,667 | $41.78 | 47,542 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-09-01 | 3,668 | $40.57 | 43,874 | 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 | 4,667 | $0.00 | 4,667 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 12,667 | No | 4 | M | Direct |
Footnotes
- 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.
- Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
- These transactions were executed in multiple trades, at prices ranging from $40.37 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.
- 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.
- The RSUs vest as to one-third of the shares on each anniversary date of grant.
Billionaire Hedge Funds
