Initial Statement of Beneficial Ownership (3)
06 November 2021 - 12:49AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
PITTERS RON |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/21/2021
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3. Issuer Name and Ticker or Trading Symbol
Axos Financial, Inc. [AX]
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(Last)
(First)
(Middle)
9205 WEST RUSSELL ROAD, SUITE 400 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
_____ Officer (give title below) ___X___ Other (specify below)
/ SVP, Head of Axos Securities |
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(Street)
LAS VEGAS, NV 89148
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 9639 | D | |
| Common Stock | 1325 | I | 401(k) Plan |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Restricted Stock Units (1) | (2) | (2) | Common Stock | 10733 | $0.0 | D | |
| Explanation of Responses: |
| (1) | Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. |
| (2) | The RSUs vest as to one-third of the shares on each anniversary date of grant. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
PITTERS RON
9205 WEST RUSSELL ROAD
SUITE 400
LAS VEGAS, NV 89148 |
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| SVP, Head of Axos Securities |
Signatures
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| By: Derrick K. Walsh For: Ron Pitters | | 11/5/2021 |
| **Signature of Reporting Person | Date |
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