PITTERS RON 4
4 · Axos Financial, Inc. · Filed Sep 5, 2023
Insider Transaction Report
Form 4
PITTERS RON
Other
Transactions
- Exercise/Conversion
Common Stock
2023-08-31$43.09/sh+1,144$49,295→ 14,468 total - Disposition to Issuer
Common Stock
2023-08-31$43.09/sh−395$17,021→ 14,073 total - Exercise/Conversion
Restricted Stock Units
2023-08-31−1,144→ 7,204 total→ Common Stock (1,144 underlying)
Holdings
- 1,797(indirect: By 401(k))
Common Stock
Footnotes (6)
- [F1]Represents shares of Common Stock issued on August 31, 2023, following the vesting of Restricted Stock Units ("RSUs") which vest as to one-third of the shares on each anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan.
- [F2]Represents shares of Common Stock issued on August 31, 2023, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan.
- [F3]Represents shares of Common Stock retained by Axos Financial, 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.
- [F4]The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. The RSUs are accompanied by dividend equivalent rights.
- [F5]Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
- [F6]The RSUs vest as to one-third of the shares on each anniversary date of grant.