| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AX | Common Stock | Options Exercise | $110,874 | +2,287 | +16% | $48.48 | 16,681 | 31 Aug 2021 | Direct | F1 |
| transaction | AX | Common Stock | Tax liability | $57,255 | -1,181 | -7.1% | $48.48 | 15,500 | 31 Aug 2021 | Direct | F1, F2 |
| holding | AX | Common Stock | 1,533 | 31 Aug 2021 | 401(k) Plan |
| 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 | -2,287 | -8.3% | $0.000000 | 25,129 | 31 Aug 2021 | Common Stock | 2,287 | Direct | F3, F4 |
| Id | Content |
|---|---|
| F1 | Represents shares of Common Stock issued on August 31, 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 | The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs are accompanied by dividend equivalent rights. |
| F4 | The RSUs vest over three years, one-third on each anniversary date of grant. |