Derrick Walsh - 23 Sep 2021 Form 4 Insider Report for Axos Financial, Inc. (AX)

Role
EVP, Chief Financial Officer
Signature
By: Andrew J. Micheletti For: Derrick Walsh
Issuer symbol
AX
Transactions as of
23 Sep 2021
Net transactions value
$0
Form type
4
Filing time
27 Sep 2021, 16:41:01 UTC
Previous filing
01 Sep 2021
Next filing
28 Sep 2021
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AX Restricted Stock Units Award $0 +10,000 +64% $0.000000 25,654 23 Sep 2021 Common Stock 10,000 Direct F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Grant to the reporting person on September 23, 2021 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 stock incentive plan in connection with the reporting person's employment contract as Chief Financial Officer.
F2 Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
F3 The RSUs vest as to one-third of the shares on each anniversary date of grant.