| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AX | Common Stock | Options Exercise | $4.72M | +120K | +7.63% | $39.44 | 1.69M | Jun 30, 2023 | Direct | F1 |
| transaction | AX | Common Stock | Tax liability | -$2.48M | -63K | -3.73% | $39.44 | 1.62M | Jun 30, 2023 | Direct | F2 |
| holding | AX | Common Stock | 2.46K | Jun 30, 2023 | 401(k) Plan | ||||||
| holding | AX | Common Stock | 171K | Jun 30, 2023 | by Trust |
| 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 | -120K | -33.33% | $0.00 | 239K | Jun 30, 2023 | Common Stock | 120K | Direct | F3, F4 |
| Id | Content |
|---|---|
| F1 | Represents shares of Common Stock issued on June 30, 2023 following the vesting of Restricted Stock Units ("RSUs") which vest one-fourth each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plans in connection with the reporting person's employment agreement as President and Chief Executive Officer. |
| 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. |
| F3 | The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plans in connection with the reporting person's employment agreement as President and Chief Executive Officer. 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 four years, one-fourth on each fiscal year-end following the date of grant. |