| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AX | Common Stock | Options Exercise | $140,344 | +2,933 | +7.3% | $47.85 | 42,919 | 01 Aug 2021 | Direct | F1 |
| transaction | AX | Common Stock | Tax liability | $70,579 | -1,475 | -3.4% | $47.85 | 41,444 | 01 Aug 2021 | Direct | F1, F2 |
| holding | AX | Common Stock | 1,200 | 01 Aug 2021 | by Spouse | F3 |
| 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 | $0 | -2,933 | -17% | $0.000000 | 14,668 | 01 Aug 2021 | Common Stock | 2,933 | Direct | F4, F5 |
| Id | Content |
|---|---|
| F1 | Represents shares of Common Stock issued on August 1, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 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 | IRA account for Susan M Court |
| F4 | The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. |
| F5 | The RSUs vest over three years, one-third on each anniversary date of grant. |