SEC Form 4 · accession 0001299709-19-000015
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
Mar 8, 2019
Accepted (ET)
Mar 11, 2019 · 9:43 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 | $0.00 | Mar 8, 2019 | A | 5,549 | A | — | — | Common Stock | 5,549 | 13,713 | D |
Explanation of responses
- F1Grant to the reporting person on March 8, 2019 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan.
- F2Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
- F3The RSUs vest over three years, one-third on each anniversary date of grant.