-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Rp7tCsRgwDMqhtpCR2FRtRykMytZNt5pIr+6+miNdp7Pmka3RKUKy7kQwm0VAaux mMzEPElXgzkRTVOXwX6Ecw== 0001209191-05-015353.txt : 20050314 0001209191-05-015353.hdr.sgml : 20050314 20050314140029 ACCESSION NUMBER: 0001209191-05-015353 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050314 FILED AS OF DATE: 20050314 DATE AS OF CHANGE: 20050314 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BofI Holding, Inc. CENTRAL INDEX KEY: 0001299709 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 330867444 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 12220 EL CAMINO REAL STREET 2: SUITE 220 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 350-6200 MAIL ADDRESS: STREET 1: 12220 EL CAMINO REAL STREET 2: SUITE 220 CITY: SAN DIEGO STATE: CA ZIP: 92130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Paulus Connie M CENTRAL INDEX KEY: 0001318994 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 333-121329 FILM NUMBER: 05677946 BUSINESS ADDRESS: BUSINESS PHONE: (858) 350-6200 MAIL ADDRESS: STREET 1: C/O BOFI HOLDING, INC. STREET 2: 12220 EL CAMINO REAL, SUITE 220 CITY: SAN DIEGO STATE: CA ZIP: 92130 3 1 a06758_cmp.xml MAIN DOCUMENT DESCRIPTION X0202 3 2005-03-14 0 0001299709 BofI Holding, Inc. BOFI 0001318994 Paulus Connie M C/O BOFI HOLDING, INC. 12220 EL CAMINO REAL, SUITE 220 SAN DIEGO CA 92130 1 0 0 0 Common Stock 74825 D Common Stock 21875 I By Penfield Group LLC Non-Qualified Stock Option (right to buy) 4.19 2009-08-13 Common Stock 19940 D Non-Qualified Stock Option (right to buy) 4.19 2011-04-02 Common Stock 2657 D Non-Qualified Stock Option (right to buy) 4.19 2010-09-09 Common Stock 11078 D Non-Qualified Stock Option (right to buy) 10.00 2011-12-30 Common Stock 4404 D Non-Qualified Stock Option (right to buy) 10.00 2014-06-30 Common Stock 5807 D Series A Convertible Preferred Stock 10.50 2009-01-01 Common Stock 23800 D Series A Convertible Preferred Stock 10.50 2009-01-01 Common Stock 23800 I By Penfield Group LLC Warrant (right to buy) 14.00 2005-07-31 Common Stock 1400 D The reporting person is the managing member of the Penfield Group LLC. Stock options granted under the 1999 Stock Option Plan. Options vest as to 1/3 of the underlying shares on the first anniversary of the grant date and vest as to 1/36 of the underlyingshares each month thereafter. Securities are exercisable immediately upon grant date. Designated as "Series A - 6% Cumulative Nonparticipating Perpetual Preferred Stock, Convertible through January 1, 2009" ("Series A Preferred Stock"), shares of Series A Preferred Stock only may be converted on the first day of a calendar quarter. The conversion price and number of shares of common stock to be issued upon conversion of Series A Preferred Stock will vary depending on when a holder elects to convert as the conversion price increases periodically through January 2009, with the number of shares to be issued decreasing from 952 shares to 555 shares for each share of Series A Preferred Stock converted. The current conversion price is in effect through January 1, 2006. /s/ Connie M. Paulus 2005-03-14 -----END PRIVACY-ENHANCED MESSAGE-----