Candace L. Thiele - 15 Mar 2025 Form 4 Insider Report for Axos Financial, Inc. (AX)

Role
EVP, Chief Administrative Offi
Signature
By: Derrick K. Walsh For: Candace L. Thiele
Issuer symbol
AX
Transactions as of
15 Mar 2025
Net transactions value
+$22,571
Form type
4
Filing time
18 Mar 2025, 17:44:34 UTC
Previous filing
26 Nov 2024
Next filing
21 Mar 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AX Common Stock Options Exercise $25,448 +398 +108% $63.94 768 15 Mar 2025 Direct F1
transaction AX Common Stock Options Exercise $25,832 +404 +53% $63.94 1,172 15 Mar 2025 Direct F1
transaction AX Common Stock Disposed to Issuer $14,259 -223 -19% $63.94 949 15 Mar 2025 Direct F2
transaction AX Common Stock Disposed to Issuer $14,450 -226 -24% $63.94 723 15 Mar 2025 Direct F2
holding AX Common Stock 167 15 Mar 2025 401(k) Plan

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

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 -398 -10% $0.000000 3,586 15 Mar 2025 Common Stock 398 $0.000000 Direct F3, F4, F5
transaction AX Restricted Stock Units Options Exercise $0 -404 -11% $0.000000 3,182 15 Mar 2025 Common Stock 404 $0.000000 Direct F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of Common Stock issued on March 15, 2025, 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 Amended and Restated 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.