[144] Axis Capital Holders Limited SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Axis Capital Holders Limited (AXS) reports a proposed sale of 2,200 common shares through Morgan Stanley Smith Barney LLC on the NYSE with an aggregate market value of $211,463.78. The filing states there are 78,173,983 shares outstanding, making the proposed sale a very small fraction of total shares.

The securities to be sold were acquired through restricted stock vesting under a registered plan on specific dates in 2022 and 2023, with lots of 8, 8, 1,075 and 1,109 shares respectively. The filer reports no securities sold in the past three months and represents they are not aware of undisclosed material adverse information about the issuer.

Positive

• Regulatory compliance: The filer submitted a Rule 144 notice disclosing the proposed sale and acquisition details.
• Transparency on acquisition: Specific vesting dates and share lots (8, 8, 1,075, 1,109) are provided.
• Broker disclosed: The sale is to be executed through Morgan Stanley Smith Barney LLC on the NYSE.

Negative

• Insider liquidity event: A person associated with the issuer proposes to sell shares, which may be viewed neutrally or negatively by some investors.

Insights

Securities Analyst

TL;DR: Proposed sale of 2,200 shares (~0.003% of outstanding) is routine and unlikely to move the stock materially.

The notice documents an insider sale via Rule 144 through Morgan Stanley Smith Barney LLC, listing the lots acquired by restricted stock vesting in 2022 and 2023. The aggregate value of the proposed sale is $211,463.78 against 78,173,983 shares outstanding, indicating the transaction size is immaterial relative to market capitalization. No recent sales in the prior three months are reported, which limits short-term trading signal value. This is a standard compliance disclosure rather than a material corporate event.

Corporate Governance Expert

TL;DR: The filing reflects routine insider liquidity from vested restricted shares and includes the required Rule 144 certification.

The document specifies the relationship of the securities to the issuer as restricted stock vesting under a registered plan and affirms the signer does not possess undisclosed material adverse information. The use of an institutional broker and the explicit vesting dates demonstrate standard governance and disclosure practice. There is no indication of concentrated insider selling or governance action stemming from this notice.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	2200	211463.78	78173983	08/15/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	04/21/2022	Restricted stock vesting under a registered plan	Issuer			8	04/21/2022	Not Applicable
Common	07/20/2022	Restricted stock vesting under a registered plan	Issuer			8	07/20/2022	Not Applicable
Common	03/01/2022	Restricted stock vesting under a registered plan	Issuer			1075	03/01/2022	Not Applicable
Common	03/01/2023	Restricted stock vesting under a registered plan	Issuer			1109	03/01/2023	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 for AXS disclose about the proposed sale?

The notice discloses a proposed sale of 2,200 common shares through Morgan Stanley Smith Barney LLC on the NYSE with an aggregate market value of $211,463.78.

How large is the proposed sale relative to Axis Capital Holders Limited's outstanding shares?

The filing lists 78,173,983 shares outstanding; the 2,200-share sale represents approximately 0.003% of outstanding shares.

When were the securities being sold originally acquired?

The securities were acquired via restricted stock vesting on 03/01/2022 (1,075 shares), 04/21/2022 (8 shares), 07/20/2022 (8 shares), and 03/01/2023 (1,109 shares).

Does the filer report any securities sold in the past three months?

The filing states: Nothing to Report for securities sold during the past three months.

Which broker and exchange are named for the proposed transaction?

The broker is Morgan Stanley Smith Barney LLC and the exchange named is the NYSE.