Sara Wardell-Smith - 14 Nov 2025 Form 4 Insider Report for Axos Financial, Inc. (AX)

Role
Director
Signature
By: Derrick Walsh For: Sara Wardell-Smith
Issuer symbol
AX
Transactions as of
14 Nov 2025
Net transactions value
+$169,712
Form type
4
Filing time
18 Nov 2025, 19:27:59 UTC
Previous filing
11 Aug 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Wardell-Smith Sara Director 9205 WEST RUSSELL ROAD, SUITE 400, LAS VEGAS By: Derrick Walsh For: Sara Wardell-Smith 18 Nov 2025 0002001931

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AX Common Stock Options Exercise $339,346 +4,289 +42% $79.12 14,539 14 Nov 2025 Direct F1
transaction AX Common Stock Disposed to Issuer $169,633 -2,144 -15% $79.12 12,395 14 Nov 2025 Direct F2

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 -4,289 -100% $0.000000 0 14 Nov 2025 Common Stock 4,289 Direct F3, F4, F5
transaction AX Restricted Stock Units Award $0 +3,615 $0.000000 3,615 14 Nov 2025 Common Stock 3,615 Direct F4, F6, F7
* 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 November 14, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan.
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. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors.
F4 Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
F5 The RSUs fully vest on the one year anniversary of the grant date.
F6 The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors.
F7 The RSU's fully vest on January 3, 2027.