Brian Swanson - Sep 15, 2025 Form 4 Insider Report for Axos Financial, Inc. (AX)

Role
President, Consumer Bank
Signature
By: Derrick Walsh For: Brian Swanson
Stock symbol
AX
Transactions as of
Sep 15, 2025
Transactions value $
$133,268
Form type
4
Date filed
9/17/2025, 07:33 PM
Previous filing
Mar 25, 2025
Next filing
Sep 25, 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Swanson Brian D President, Consumer Bank 9205 WEST RUSSELL ROAD, SUITE 400, LAS VEGAS By: Derrick Walsh For: Brian Swanson 2025-09-17 0001777936

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AX Common Stock Options Exercise $126K +1.4K +2.67% $90.29 53.8K Sep 15, 2025 Direct F1
transaction AX Common Stock Options Exercise $80.9K +896 +1.67% $90.29 54.7K Sep 15, 2025 Direct F1
transaction AX Common Stock Disposed to Issuer -$45.1K -500 -0.91% $90.29 54.2K Sep 15, 2025 Direct F2
transaction AX Common Stock Disposed to Issuer -$28.9K -320 -0.59% $90.29 53.9K Sep 15, 2025 Direct F2
holding AX Common Stock 2.74K Sep 15, 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 -1.4K -5.32% $0.00 24.9K Sep 15, 2025 Common Stock 1.4K Direct F3, F4, F5
transaction AX Restricted Stock Units Options Exercise $0 -896 -3.6% $0.00 24K Sep 15, 2025 Common Stock 896 Direct F3, F4, F5
transaction AX Restricted Stock Units Award $0 +3.25K +13.55% $0.00 27.3K Sep 15, 2025 Common Stock 3.25K Direct F4, F5, F6
* 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 September 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.
F6 Grant to the reporting person on September 15, 2025 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan.