SEC Form 4 · accession 0001500191-15-000008
Axos Financial, Inc. · AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward James Ratinoff
Director
Period of report
Aug 25, 2015
Accepted (ET)
Aug 26, 2015 · 8:41 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 Stock | Aug 25, 2015 | S | 1,073 | $122.25 | D | 8,327 | D |
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 | — | Aug 26, 2015 | A | 2,000 | A | — | — | Common Stock | 2,000 | 4,001 | D |
Explanation of responses
- F1Grant to the reporting person on August 26, 2015 of restricted stock units (RSU's)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 RSU's are accompanied by dividend equivalent rights.
- F3The RSU's vest over three years, one-third on each anniversary date of grant.