Form 4 for AX Axos Financial, Inc.

Accepted 2023-09-05 00:00:00 ET · period of report 2023-08-31 · accession 0001299709-23-000221 · 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	2023-09-05	2023-08-31	AX	Constantine Thomas M	EVP, Chief Credit Off	M - OptEx	$43.09	+2,287	18.3K	+14%	+$98.5K
D	2023-09-05	2023-08-31	AX	Constantine Thomas M	EVP, Chief Credit Off	D - Sale to Iss	$43.09	-1,204	17.0K	-7%	-$51.9K
D	2023-09-05	2023-08-31	AX	Constantine Thomas M	EVP, Chief Credit Off	M - OptEx	$0.00	-2,287	17.7K	-11%	$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	2023-08-31	M	A	2,287	$43.09	18,251	D	—	—	(F1) Represents shares of Common Stock issued on August 31, 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.
2	Common	Common Stock	2023-08-31	D	D	1,204	$43.09	17,047	D	—	—	(F2) Represents shares of Common Stock retained by Axos Financial, Inc. for tax withholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSUs.
3	Derivative	Restricted Stock Units	2023-08-31	M	D	2,287	$0.00	17,730	D	— · — to —	2,287 Common Stock	(F3) 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. (F4) 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.