Form 4: Director Stefani D. Carter Reports Stock Transactions in Axos Financial, Inc.

Director Stefani D. Carter reports the vesting and disposal of restricted stock units (RSUs) in Axos Financial, Inc. on August 31, 2024, resulting in changes to her beneficial ownership.

Summary

• On August 31, 2024, Stefani D. Carter, a director of Axos Financial, Inc., engaged in transactions involving restricted stock units (RSUs).
• 2,000 shares of common stock were issued following the vesting of RSUs, which vest in thirds annually, at a price of $69.43.
• An additional 6,000 shares of common stock were issued following the vesting of RSUs, which vest on the one-year anniversary of the grant, at a price of $69.43.
• 2,999 and 999 shares of common stock were retained by Axos Financial, Inc. to cover tax liabilities related to the vested RSUs at a price of $69.43.
• Following these transactions, Carter's direct ownership of Axos Financial, Inc. common stock is 9,003 shares.
• Carter also owns 6,000 restricted stock units.

Sentiment

Score: 5

Explanation: The document is a standard regulatory filing detailing stock transactions. It doesn't inherently convey positive or negative sentiment.

Industry Context

This Form 4 filing is a routine disclosure required by the SEC for corporate insiders, providing transparency into their trading activities and holdings in the company.

Stakeholder Impact

• The transactions may have a minor impact on shareholders due to the change in the director's holdings.
• The transactions are part of the director's compensation package.

Key Dates