Form 4 for AX Axos Financial, Inc.

Accepted 2023-08-17 00:00:00 ET · period of report 2023-08-15 · accession 0001299709-23-000176 · 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	2023-08-17	2023-08-15	AX	Grinberg Paul	Dir	M - OptEx	$41.42	+18.1K	87.7K	+26%	+$751.8K
D	2023-08-17	2023-08-15	AX	Grinberg Paul	Dir	D - Sale to Iss	$41.42	-9,075	78.6K	-10%	-$375.9K
D	2023-08-17	2023-08-15	AX	Grinberg Paul	Dir	M - OptEx	$0.00	-18.1K	19.5K	-48%	$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	2023-08-15	M	A	18,150	$41.42	87,692	D	—	—	(F1) Represents shares of Common Stock issued on August 15, 2023, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan.
2	Common	Common Stock	2023-08-15	D	D	9,075	$41.42	78,617	D	—	—	(F2) 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	2023-08-15	M	D	18,150	$0.00	19,500	D	— · — to —	18,150 Common Stock	(F3) The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. (F4) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F5) The RSUs fully vest on the anniversary date of grant.