SEC Form 4 · accession 0001299709-15-000050
Axos Financial, Inc. · AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew J Micheletti
Officer — EVP & Chief Financial Officer
Period of report
Jun 11, 2015
Accepted (ET)
Jun 12, 2015 · 8:37 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 11, 2015 | M | 50,000 | $9.50 | A | 136,836 | D | |
| Common StockF1 | Jun 11, 2015 | F | 28,369 | $99.83 | D | 108,467 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1 | $9.50 | Jun 11, 2015 | M | 50,000 | D | Jul 25, 2006 | Jul 26, 2015 | Common Stock | 50,000 | 0 | D |
Explanation of responses
- F1Options outstanding of 50,000 were set to imminently expire. The 50,000 options were settled in a cashless transaction with the Company, where the Company withheld 28,369 shares for the exercise price and taxes paid, which resulted in 21,631 shares issued.