SEC Form 4 · accession 0001299709-15-000090

Axos Financial, Inc. · AX

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

Reporting owner

Director

Period of report

Aug 16, 2015

Accepted (ET)

Aug 18, 2015 · 8:19 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 Stock^F1	Aug 16, 2015	M	1,334	$128.50	A	8,754	D
Common Stock^F1,F2	Aug 16, 2015	F	693	$128.50	D	8,061	D
Common Stock	Aug 18, 2015	S	1,282	$131.55	D	6,779	D
Common Stock^F3	holding	—	—		—	300	I	by Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F4,F5	—	Aug 16, 2015	M	1,334	D	—	—	Common Stock	1,334	2,001	D

F1Represents shares of Common Stock issued on August 16, 2015 following the vesting of Restricted Stock Units (RSU's) which vest one-third each year. The RSU's were previously granted to the reporting person under the BofI Holding, Inc. 2004 Stock Incentive Plan.
F2Represents shares of Common Stock retained by BofI Holding, Inc. for tax witholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSU's.
F3IRA account for Susan M Court
F4The RSU's were granted to the reporting person under the BofI Holding, Inc. 2004 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. Each RSU represents a contingent right to receive one share of BofI Holding, Inc. Common Stock. The RSU's are accompanied by dividend equivalent rights.
F5The RSU's vest over three years, one-third on each anniversary date of grant.