SEC Form 4 · accession 0001299709-15-000048

Axos Financial, Inc. · AX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jun 11, 2015

Accepted (ET)

Jun 12, 2015 · 8:31 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001299709

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Jun 11, 2015	M	6,900	$9.50	A	48,799	D
Common Stock^F1	Jun 11, 2015	F	2,856	$99.83	D	45,943	D
Common Stock^F2	Jun 11, 2015	M	6,900	$7.35	A	52,843	D
Common Stock^F3	Jun 11, 2015	M	7,500	$9.20	A	60,343	D
Common Stock^F2	Jun 11, 2015	F	2,759	$99.83	D	57,584	D
Common Stock^F3	Jun 11, 2015	F	3,089	$99.83	D	54,495	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Non-Qualified Stock Option (right to buy)^F2	$7.35	Jun 11, 2015	M	6,900	D	Jul 24, 2007	Jul 25, 2016	Common Stock	6,900	D
Non-Qualified Stock Option (right to buy)^F3	$9.20	Jun 11, 2015	M	7,500	D	Aug 22, 2006	Aug 23, 2015	Common Stock	7,500	D
Non-Qualified Stock Option (right to buy)^F1	$9.50	Jun 11, 2015	M	6,900	D	Jul 25, 2006	Jul 26, 2015	Common Stock	6,900	D

F1Options outstanding of 6,900 were set to imminently expire. The 6,900 options were settled in a cashless transaction with the Company, where the Company withheld 2,856 shares for the exercise price and taxes paid, which resulted in 4,044 shares issued.
F2Options outstanding of 6,900 were set to imminently expire. The 6,900 options were settled in a cashless transaction with the Company, where the Company withheld 2,759 shares for the exercise price and taxes paid, which resulted in 4,141 shares issued.
F3Options outstanding of 7,500 were set to imminently expire. The 7,500 options were settled in a cashless transaction with the Company, where the Company withheld 3,089 shares for the exercise price and taxes paid, which resulted in 4,411 shares issued.