[144] Axos Financial, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice: The filer reports a proposed sale of 1,476 shares of common stock of the issuer through Morgan Stanley Smith Barney LLC, with an aggregate market value of $135,792. The filing shows 56,486,144 shares outstanding and an approximate sale date of 09/10/2025 on the NYSE. The securities were acquired as restricted stock from the issuer on 03/15/2024 (847 shares) and 08/25/2024 (629 shares), with payment dates matching acquisition dates. The form states there were no securities sold in the past three months and includes the required signer representation about absence of undisclosed material adverse information.

Positive

• Transaction details fully itemized: class, share count, aggregate market value, acquisition dates, and broker are provided
• Acquisitions clearly identified as restricted stock with matching acquisition and payment dates, aiding Rule 144 compliance
• No securities sold in prior three months is reported, simplifying aggregation calculations under Rule 144

Negative

• Filer identification fields are blank or not provided in the extracted content (CIK/CCC and submission contact), reducing traceability
• Filing extract lacks the filers role or relationship to the issuer in the provided issuer information table, limiting context for investors

Insights

Securities Analyst

TL;DR: Routine insider sale notice for 1,476 shares, clearly documented but lacking filer identifiers.

The filing documents a proposed Rule 144 sale of 1,476 restricted shares via Morgan Stanley Smith Barney with clear acquisition dates and aggregate market value. This is a standard Section 144 disclosure showing compliance with resale rules and aggregation requirements; it also confirms no sales in the prior three months. The absence of filer CIK/CCC and contact details in the provided tables limits traceability and makes it harder to link this sale to a specific insider or role within the company, reducing transparency for investors seeking context.

Corporate Governance Expert

TL;DR: Disclosure meets Rule 144 content requirements but omits some identifying contact fields in the provided extract.

The notice contains the necessary transactional details: class, number of shares, acquisition method (restricted stock), dates, broker, and intended exchange. These elements satisfy key governance disclosure norms for planned insider sales. However, missing filer identification fields in the extract (CIK/CCC and submission contact) are material for governance transparency because they prevent stakeholders from confirming the filers identity and assessing potential insider status or pattern of sales.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	1476	135792.00	56486144	09/10/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	08/25/2024	Restricted Stock	Issuer			629	08/25/2024	Not Applicable
Common	03/15/2024	Restricted Stock	Issuer			847	03/15/2024	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filed for AX disclose?

The form notifies a proposed sale of 1,476 common shares with an aggregate market value of $135,792, to be sold approximately on 09/10/2025 on the NYSE via Morgan Stanley Smith Barney LLC.

How were the shares being sold acquired according to the filing?

The shares were acquired as restricted stock from the issuer: 847 shares on 03/15/2024 and 629 shares on 08/25/2024, with payment dates matching acquisition dates.

Does the filing report any securities sold in the past three months?

No. The filing explicitly states Nothing to Report for securities sold during the past three months.

Which broker is handling the proposed sale?

The broker listed is Morgan Stanley Smith Barney LLC, Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY 10004.

Is there information about the filers identity in the document extract?

The provided extract does not include populated Filer CIK or CCC or submission contact details; those fields are blank in the supplied content.

Does the filer represent there is undisclosed material information?

By signing, the filer represents they do not know any material adverse information about the issuer that has not been publicly disclosed.