SEC Form 4 · accession 0001299709-15-000159
Axos Financial, Inc. · AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derrick Walsh
Officer — SVP, Chief Accounting Officer
Period of report
Nov 20, 2015
Accepted (ET)
Nov 24, 2015 · 2:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001299709
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F4,F2,F3 | $0.00 | Nov 20, 2015 | A | 2,237 | A | — | — | Common Stock | 2,237 | 7,081 | D |
Explanation of responses
- F1Grant to the reporting person on November 20, 2015 of restricted stock units (RSU's) under the BOFI Holding. Inc. 2014 Stock Incentive Plan.
- F2Each RSU represents a contingent right to receive one share of BofI Holding, Inc. Common Stock. The RSU's are accompanied by dividend equivalent rights.
- F3The RSU's vest over three years, one-third on each anniversary date of grant.
- F4On November 18, 2015, Bofi Holding Inc. effected a 4-to-1 stock split. The number of shares reported throughout this form 4 have been adjusted to reflect the stock split.