Form 4 for AX Axos Financial, Inc.

Accepted 2022-08-03 00:00:00 ET · period of report 2022-08-01 · accession 0001299709-22-000130 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2022-08-03	2022-08-01	AX	Grinberg Paul	Dir	S - Sale+OE	$41.04	-2,985	59.7K	-5%	-$122.5K
D	2022-08-03	2022-08-01	AX	Grinberg Paul	Dir	M - OptEx	$42.10	+8,067	62.7K	+15%	+$339.6K
D	2022-08-03	2022-08-01	AX	Grinberg Paul	Dir	M - OptEx	$0.00	-8,067	33.0K	-20%	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-08-01	S	D	2,985	$41.04	59,749	D	—	—	(F2) These transactions were executed in multiple trades, at prices ranging from $40.79 to $41.27. 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.
2	Common	Common Stock	2022-08-01	M	A	8,067	$42.10	62,734	D	—	—	(F1) Represents shares of Common Stock issued on August 01, 2022, following the vesting of Restricted Stock Units ("RSUs") which vest as to one-third of the shares on each anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan.
3	Derivative	Restricted Stock Units	2022-08-01	M	D	8,067	$0.00	32,950	D	— · — to —	8,067 Common Stock	(F3) The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. (F4) The RSUs vest as to one-third of the shares on each anniversary date of grant.