Form 4 for AX Axos Financial, Inc.
Accepted 2025-11-18 00:00:00 ET · period of report 2025-11-14 · accession 0001303829-25-000004 · 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 | 2025-11-18 | 2025-11-14 | AX | Grinberg Paul | Dir | M - OptEx | $79.12 | +12.9K | 126.2K | +11% | +$1.02M |
| D | 2025-11-18 | 2025-11-14 | AX | Grinberg Paul | Dir | D - Sale to Iss | $79.12 | -6,432 | 119.7K | -5% | -$508.9K |
| D | 2025-11-18 | 2025-11-14 | AX | Grinberg Paul | Dir | A - Grant | $0.00 | +10.8K | 10.8K | New | $0 |
| D | 2025-11-18 | 2025-11-14 | AX | Grinberg Paul | Dir | M - OptEx | $0.00 | -12.9K | 0 | -100% | $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 | 2025-11-14 | M | A | 12,865 | $79.12 | 126,160 | D | — | — | (F1) Represents shares of Common Stock issued on November 14, 2024, 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 | 2025-11-14 | D | D | 6,432 | $79.12 | 119,728 | D | — | — | (F1) Represents shares of Common Stock issued on November 14, 2024, 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. (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 | 2025-11-14 | A | A | 10,845 | $0.00 | 10,845 | D | — · — to — | 10,845 Common Stock | (F6) 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. (F7) The RSU's fully vest on January 3, 2027. |
| 4 | Derivative | Restricted Stock Units | 2025-11-14 | M | D | 12,865 | $0.00 | 0 | D | — · — to — | 12,865 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 one year anniversary of the grant date. |