Raymond D. Matsumoto - 15 Mar 2026 Form 4 Insider Report for Axos Financial, Inc. (AX)

Role
EVP, Chief Operating Officer
Signature
By: Derrick Walsh For: Raymond Matsumoto
Issuer symbol
AX
Transactions as of
15 Mar 2026
Net transactions value
$0
Form type
4
Filing time
16 Mar 2026, 20:00:35 UTC
Previous filing
25 Sep 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
MATSUMOTO RAYMOND D EVP, Chief Operating Officer 9205 WEST RUSSELL ROAD, SUITE 400, LAS VEGAS By: Derrick Walsh For: Raymond Matsumoto 16 Mar 2026 0001281197

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AX Common Stock Options Exercise +2,474 +6.4% $84.68* 41,383 15 Mar 2026 Direct F1
transaction AX Common Stock Options Exercise +1,956 +4.7% $84.68* 43,339 15 Mar 2026 Direct F1
transaction AX Common Stock Disposed to Issuer -1,055 -2.4% $84.68* 42,284 15 Mar 2026 Direct F2
transaction AX Common Stock Disposed to Issuer -1,398 -3.3% $84.68* 40,886 15 Mar 2026 Direct F2
holding AX Common Stock 2,237 15 Mar 2026 401(k) Plan

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction AX Restricted Stock Units Options Exercise -2,474 -12% $0.000000* 17,501 15 Mar 2026 Common Stock 2,474 Direct F3, F4, F5
transaction AX Restricted Stock Units Options Exercise -1,956 -11% $0.000000* 15,545 15 Mar 2026 Common Stock 1,956 Direct F3, F4, F5
transaction AX Restricted Stock Units Award +3,189 +21% $0.000000* 18,734 15 Mar 2026 Common Stock 3,189 Direct F4, F5, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of Common Stock issued on March 15, 2026, 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.
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.
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.
F6 Grant to the reporting person on March 15, 2026 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan.