Grinberg Paul's Form 4 filing
Axos Financial, Inc. (AX) · filed Aug 3, 2022
- Accession no.
- 0001299709-22-000130
- Filed
- Aug 3, 2022
- Trade date
- Aug 1, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $122.5K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Grinberg PaulCIK 0001303829 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 1, 2022 | Common Stock | MOption exerciseAcquired | +8,067 | $42.10 | +$339,620.7 | 62,734 | Direct | |
| Aug 1, 2022 | Common Stock | SSaleDisposed | −2,985 | $41.04F2 | −$122,504.4 | 59,749 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 1, 2022 | Common Stock | MOption exerciseDisposed | −8,067 | $0.00 | $0 | 32,950 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
These transactions were executed in multiple trades, at prices ranging from $40.79 to $41.27. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold and the prices at which each trade was effected.
Referenced by the price of 1 transaction in Table I.