SEC Form 4 · accession 0001299709-16-000295
Axos Financial, Inc. · AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theodore C Allrich
Director
Period of report
Sep 8, 2016
Accepted (ET)
Sep 12, 2016 · 7:23 pm EDT
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,F2,F3 | — | Sep 8, 2016 | A | 22,000 | A | — | — | Common Stock | 22,000 | 44,003 | D |
Explanation of responses
- F1Grant to the reporting person on September 8, 2016 of restricted stock units (RSUs) under the BofI Holding, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors.
- F2Each RSU represents a contingent right to receive one share of BofI Holding, Inc. Common Stock. The RSUs are accompanied by dividend equivalent rights.
- F3The RSUs vest over three years, one third on August 24 of each of the three years following the date of grant.