Form 4 for AX Axos Financial, Inc.

Accepted 2023-03-14 00:00:00 ET · period of report 2023-03-12 · accession 0001299709-23-000044 · 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	2023-03-14	2023-03-12	AX	Swanson Brian D	EVP, Head of Consumer Bank	M - OptEx	$37.66	+3,118	44.2K	+8%	+$117.4K
D	2023-03-14	2023-03-12	AX	Swanson Brian D	EVP, Head of Consumer Bank	D - Sale to Iss	$37.66	-1,800	42.4K	-4%	-$67.8K
D	2023-03-14	2023-03-12	AX	Swanson Brian D	EVP, Head of Consumer Bank	M - OptEx	$0.00	-3,118	18.4K	-14%	$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	2023-03-12	M	A	3,118	$37.66	44,216	D	—	—	(F1) Represents shares of Common Stock issued on March 12, 2023, 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. (F2) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
2	Common	Common Stock	2023-03-12	D	D	1,800	$37.66	42,416	D	—	—	(F3) Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs.
3	Derivative	Restricted Stock Units	2023-03-12	M	D	3,118	$0.00	18,432	D	— · — to —	3,118 Common Stock	(F4) The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. The RSUs are accompanied by dividend equivalent rights. (F2) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F5) The RSUs vest as to one-third of the shares on each anniversary date of grant.