SEC Form 4 · accession 0001299709-18-000092

Axos Financial, Inc. · AX

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

Reporting owner

Director

Period of report

Aug 24, 2018

Accepted (ET)

Aug 27, 2018 · 9:53 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
Common Stock^F1	Aug 24, 2018	M	2,667	$37.87	A	33,593	D
Common Stock^F1,F2	Aug 24, 2018	F	1,341	$37.87	D	32,252	D
Common Stock^F1	Aug 26, 2018	M	2,667	$37.87	A	34,919	D
Common Stock^F1,F2	Aug 26, 2018	F	1,341	$37.87	D	33,578	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3,F4	—	Aug 24, 2018	M	2,667	D	—	—	Common Stock	2,667	10,668	D
Restricted Stock Units^F3,F4	—	Aug 26, 2018	M	2,667	D	—	—	Common Stock	2,667	8,001	D

F1Represents shares of Common Stock issued on August 24, 2018 and August 26, 2018 following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the BofI Holding, Inc. 2014 Stock Incentive Plan.
F2Represents shares of Common Stock retained by BofI Holding, Inc. for tax withholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSUs.
F3The RSUs were granted to the reporting person 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. Each RSU represents a contingent right to receive one share of BofI Holding, Inc. Common Stock.
F4The RSUs vest over three years, one-third on each anniversary date of grant.