James J. Court - Aug 1, 2022 Form 4 Insider Report for Axos Financial, Inc. (AX)

Role
Director
Signature
By: Derrick K. Walsh For: James Court
Stock symbol
AX
Transactions as of
Aug 1, 2022
Transactions value $
$49,813
Form type
4
Date filed
8/3/2022, 08:58 PM
Previous filing
Sep 9, 2021
Next filing
Aug 17, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AX Common Stock Options Exercise $124K +2.93K +6.61% $42.10 47.3K Aug 1, 2022 Direct F1
transaction AX Common Stock Sale -$73.7K -1.76K -3.72% $41.88 45.5K Aug 2, 2022 Direct
holding AX Common Stock 1.2K Aug 1, 2022 by Spouse F2

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 Options Exercise $0 -2.93K -19.05% $0.00 12.5K Aug 1, 2022 Common Stock 2.93K Direct F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of Common Stock issued on August 01, 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.
F2 IRA account for Susan M Court
F3 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.
F4 The RSUs vest as to one-third of the shares on each anniversary date of grant.