Garrabrants Gregory's Form 4 filing
Axos Financial, Inc.AX · filed Aug 3, 2023
- Accession no.
- 0001299709-23-000148
- Filed
- Aug 3, 2023
- Trade date
- Aug 1-3, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market sales total $8.51M. 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 |
|---|---|
| Garrabrants GregoryCIK 0001419425 | Director, Officer (President and CEO) |
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, 2023 | Common Stock | SSaleDisposed | −40,000 | $45.53F2 | −$1,821,200 | 1,583,647 | Direct | |
| Aug 2, 2023 | Common Stock | SSaleDisposed | −62,356 | $45.15F3 | −$2,815,373.4 | 1,521,291 | Direct | |
| Aug 3, 2023 | Common Stock | SSaleDisposed | −85,312 | $45.36F4 | −$3,869,752.32 | 1,435,979 | 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 $45.35 to $45.65. 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.
- F3
These transactions were executed in multiple trades, at prices ranging from $45.00 to $45.31. 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.
- F4
These transactions were executed in multiple trades, at prices ranging from $45.05 to $45.56. 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.