| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AX | Common Stock | Options Exercise | $0 | +2.93K | +6.84% | $0.00 | 45.8K | Sep 5, 2021 | Direct | F1, F2 |
| transaction | AX | Common Stock | Disposed to Issuer | -$69.6K | -1.48K | -3.22% | $47.16 | 44.4K | Sep 5, 2021 | Direct | F3 |
| holding | AX | Common Stock | 1.2K | Sep 5, 2021 | by Spouse | F4 |
| 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 | -2.93K | -16% | $0.00 | 15.4K | Sep 5, 2021 | Common Stock | 2.93K | Direct | F2, F5, F6 |
| Id | Content |
|---|---|
| F1 | Represents shares of Common Stock issued on September 5, 2021, 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 Stock Incentive Plan. |
| F2 | Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. |
| F3 | 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. |
| F4 | IRA account for Susan M Court |
| F5 | 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. |
| F6 | The RSUs vest as to one-third of the shares on each anniversary date of grant. |