[144] Axos Financial, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice for Axos Financial, Inc. (AX) reports a proposed sale of 700 shares of Common stock through Morgan Stanley Smith Barney LLC with an aggregate market value of $63,094.50. The filing lists approximately 56,486,144 shares outstanding and an approximate sale date of 09/03/2025. The securities to be sold were acquired as restricted stock in three tranches: 176 shares on 03/15/2024, 194 shares on 09/15/2024, and 330 shares on 03/15/2025. The filer indicates no securities sold in the past three months. Several identifying fields such as the filer name/CIK and the named person for whose account the sale is to be made are not provided in the visible content.

Insights

Securities Analyst

TL;DR: Small, routine insider sale notification; likely immaterial to market valuation.

The filing documents a proposed sale of 700 shares valued at $63,094.50 executed via Morgan Stanley Smith Barney LLC and arising from restricted stock grants recorded on three dates in 2024 and 2025. The notice states no sales in the prior three months and reports total shares outstanding of 56,486,144, indicating the position disclosed is a modest fraction of the outstanding base. The form lacks explicit filer identification in the visible content, which limits traceability of the insider and context around the transaction.

Corporate Governance Expert

TL;DR: Compliance-focused disclosure appears routine but missing some filer identity details.

The submission follows Rule 144 format and provides acquisition dates and nature of the securities as restricted stock, satisfying basic disclosure elements. The representation that the seller has no undisclosed material adverse information is present. However, the visible content does not include the filer name/CIK or the named person for whose account the sale is to be made, which are important for governance transparency and stakeholder assessment.

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	700	63094.50	56486144	09/03/2025	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	03/15/2025	Restricted Stock	Issuer			330	03/15/2025	Not Applicable
Common	03/15/2024	Restricted Stock	Issuer			176	03/15/2024	Not Applicable
Common	09/15/2024	Restricted Stock	Issuer			194	09/15/2024	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 Axos Financial (AX) Form 144 report?

The form reports a proposed sale of 700 common shares valued at $63,094.50, to be executed approximately on 09/03/2025 via Morgan Stanley Smith Barney LLC.

When and how were the shares being sold acquired?

The shares were acquired as restricted stock in three tranches: 176 shares on 03/15/2024, 194 shares on 09/15/2024, and 330 shares on 03/15/2025.

Does the filing show recent sales by the same person?

The filing states Nothing to Report for securities sold during the past three months.

How many shares outstanding does Axos Financial report in this filing?

The filing shows 56,486,144 shares outstanding.

Is the identity of the filer or the selling person provided?

The visible content does not include the filer name, CIK, or the named person for whose account the securities are to be sold.