Form 4 for AX Axos Financial, Inc.
Accepted 2025-11-18 00:00:00 ET · period of report 2025-11-14 · accession 0001517804-25-000003 · 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 | COURT JAMES JOHN | Dir | D - Sale to Iss | $79.12 | -2,362 | 43.3K | -5% | -$186.9K |
| D | 2025-11-18 | 2025-11-14 | AX | COURT JAMES JOHN | Dir | M - OptEx | $79.12 | +4,724 | 45.7K | +12% | +$373.8K |
| D | 2025-11-18 | 2025-11-14 | AX | COURT JAMES JOHN | Dir | A - Grant | $0.00 | +3,982 | 3,982 | New | $0 |
| D | 2025-11-18 | 2025-11-14 | AX | COURT JAMES JOHN | Dir | M - OptEx | $0.00 | -4,724 | 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 | D | D | 2,362 | $79.12 | 43,332 | 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. |
| 2 | Common | Common Stock | 2025-11-14 | M | A | 4,724 | $79.12 | 45,694 | 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. |
| 3 | Derivative | Restricted Stock Units | 2025-11-14 | A | A | 3,982 | $0.00 | 3,982 | D | — · — to — | 3,982 Common Stock | (F7) 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. (F5) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F8) The RSU's fully vest on January 3, 2027. |
| 4 | Derivative | Restricted Stock Units | 2025-11-14 | M | D | 4,724 | $0.00 | 0 | D | — · — to — | 4,724 Common Stock | (F4) 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. (F5) Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. (F6) The RSUs fully vest on the one year anniversary of the grant date. |