Form 4 for AX Axos Financial, Inc.
Accepted 2025-03-18 00:00:00 ET · period of report 2025-03-15 · accession 0001299709-25-000028 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2025-03-18 | 2025-03-15 | AX | Bar-Adon Eshel | EVP, CLO | D - Sale to Iss | $63.94 | -1,730 | 124.9K | -1% | -$110.6K |
| DM | 2025-03-18 | 2025-03-15 | AX | Bar-Adon Eshel | EVP, CLO | M - OptEx | $63.94 | +3,050 | 125.2K | +2% | +$195.0K |
| DM | 2025-03-18 | 2025-03-15 | AX | Bar-Adon Eshel | EVP, CLO | M - OptEx | $0.00 | -3,050 | 13.9K | -18% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2025-03-15 | D | D | 966 | $63.94 | 125,661 | 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. |
| 2 | Common | Common Stock | 2025-03-15 | D | D | 764 | $63.94 | 124,897 | 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 | Common | Common Stock | 2025-03-15 | M | A | 1,416 | $63.94 | 126,627 | D | — | — | (F1) Represents shares of Common Stock issued on March 15, 2025, 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 Amended and Restated 2014 Stock Incentive Plan. |
| 4 | Common | Common Stock | 2025-03-15 | M | A | 1,634 | $63.94 | 125,211 | D | — | — | (F1) Represents shares of Common Stock issued on March 15, 2025, 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 Amended and Restated 2014 Stock Incentive Plan. |
| 5 | Derivative | Restricted Stock Units | 2025-03-15 | M | D | 1,634 | $0.00 | 15,362 | D | — · — to — | 1,634 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. |
| 6 | Derivative | Restricted Stock Units | 2025-03-15 | M | D | 1,416 | $0.00 | 13,946 | D | — · — to — | 1,416 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. |