Form 4 for AX Axos Financial, Inc.

Accepted 2024-11-15 00:00:00 ET · period of report 2024-11-14 · accession 0001299709-24-000250 · 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	2024-11-15	2024-11-15	AX	Ratinoff Edward James	Dir	S - Sale	$79.41	-4,002	46.2K	-8%	-$317.8K
D	2024-11-15	2024-11-14	AX	Ratinoff Edward James	Dir	A - Grant	$0.00	+4,289	4,289	New	$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	2024-11-15	S	D	4,002	$79.41	46,209	D	—	—
2	Derivative	Restricted Stock Units	2024-11-14	A	A	4,289	$0.00	4,289	D	— · — to —	4,289 Common Stock	(F1) 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. The number of RSUs granted reflected a change in the compensation applicable to the nonemployee members of the Board of Directors to: (a) change the annual grant date from August of each year to the date of the annual meeting of the stockholders of Axos Financial, Inc.; (b) be based on certain approved dollar amounts (which for certain directors include premiums for service as chairman or vice chairman of the Board of Directors or its committees), divided by the closing stock price on the grant date; and (c) include additional amounts for this year?s grants in light of the delayed grant date for the current year. (F2) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F3) The RSUs fully vest on the anniversary date of grant.