Grinberg Paul 4/A
4/A · Axos Financial, Inc. · Filed Sep 22, 2023
Insider Transaction Report
Form 4/AAmended
Grinberg Paul
Director
Transactions
- Exercise/Conversion
Common Stock
2023-08-31$43.09/sh+7,400$318,866→ 137,917 total - Disposition to Issuer
Common Stock
2023-08-31$43.09/sh−3,699$159,390→ 131,194 total - Exercise/Conversion
Common Stock
2023-08-31$43.09/sh+6,050$260,695→ 130,517 total - Disposition to Issuer
Common Stock
2023-08-31$43.09/sh−3,024$130,304→ 134,893 total
Footnotes (3)
- [F1]The original Form 4, filed on September 5, 2023, is being amended by this Form 4 Amendment to increase the total number of shares held by the reporting person by 45,850 shares as a result of an error on a previous Form 4 as follows: on December 30, 2020, the reporting person filed a Form 4 which mistakenly reported that, following the gift, the reporting person would not retain beneficial ownership in the 45,850 shares subject to the gift. These shares were also omitted in the reporting person's beneficial ownership reports filed thereafter.
- [F2]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.
- [F3]Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs.