SEC Form 4 · accession 0001299709-16-000287
Axos Financial, Inc. · AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mosich Nick
Director
Period of report
Nov 13, 2015
Accepted (ET)
Sep 1, 2016 · 9:52 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,F2,F3 | Nov 13, 2015 | P | 2,000 | $21.79 | A | 106,552 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 17, 2015, BofI Holding, Inc. effected a four-for-one stock split. The amount and price of shares reported throughout this Form 4 have been adjusted to reflect the stock split. The Reporting Person acquired a pre-split-adjusted equivalent of 500 shares at a pre-split-adjusted equivalent weighted average price of $87.17.
- F2This transaction was executed in multiple trades, at prices ranging from $21.70 to $21.88 (pre-split-adjusted equivalent prices of $86.80 to $87.50). The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased and the prices at which each individual trade was effected.
- F3The amount of shares beneficially owned above are as of September 1, 2016. As of the transaction date of November 13, 2015 the number of shares beneficially owned following the Reported Transaction were 101,744 (25,436 on a pre-split-adjusted basis).