| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AX | Common Stock | Options Exercise | $72.5K | +1.68K | +15.65% | $43.09 | 12.4K | Aug 31, 2023 | Direct | F1 |
| transaction | AX | Common Stock | Disposed to Issuer | -$35.9K | -833 | -6.7% | $43.09 | 11.6K | Aug 31, 2023 | Direct | F2 |
| holding | AX | Common Stock | 942 | Aug 31, 2023 | 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 | -1.68K | -10.51% | $0.00 | 14.3K | Aug 31, 2023 | Common Stock | 1.68K | Direct | F3, F4, F5 |
| Id | Content |
|---|---|
| F1 | Represents shares of Common Stock issued on August 31, 2023, 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 | 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. |