AX Form 144: Proposed Sale of Restricted Shares

AX filing a Form 144 notice through Morgan Stanley Smith Barney LLC Executive Financial Services.

Rhea-AI Filing Summary

AX filing a Form 144 notice through Morgan Stanley Smith Barney LLC Executive Financial Services. The notice lists proposed sales of Common Stock described as Restricted Stock with transaction dates 03/15/2026 and a filing/date entry of 06/08/2026. The excerpt shows two lots of restricted shares: 864 and 730 shares, each labeled "Issuer" and dated 03/15/2026. The filing identifies the broker and the exchange as NYSE.

Insights

Securities Compliance Attorney

Form 144 lists proposed resale of restricted common shares via a broker.

Form 144 is a notice of intent to sell restricted or control securities under federal resale rules. The excerpt lists two restricted-stock lots dated 03/15/2026 (864 and 730 shares) and a broker entry for Morgan Stanley Smith Barney LLC.

Timing and sale execution details are not shown; subsequent transaction reports or broker confirmations would record completed sales.

Key Figures

Form date: 06/08/2026 Restricted shares (lot 1): 864 shares Restricted shares (lot 2): 730 shares +3 more

6 metrics

Form date 06/08/2026 filing entry associated with broker/NYSE line

Restricted shares (lot 1) 864 shares Restricted Stock dated <date>03/15/2026</date>, labeled Issuer

Restricted shares (lot 2) 730 shares Restricted Stock dated <date>03/15/2026</date>, labeled Issuer

Broker line numeric entry 1,594 numeric field appearing after broker/address in excerpt

Monetary numeric entry 140,574.86 numeric field appearing in broker/excerpt line

Numeric identifier 56,884,635 numeric field appearing in broker/excerpt line

Key Terms

Form 144, Restricted Stock, Issuer

3 terms

Form 144 regulatory

"144: Securities To Be Sold"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Restricted Stock financial

"Common | 03/15/2026 | Restricted Stock | Issuer"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

Issuer regulatory

"Restricted Stock | Issuer | | | 864 | 03/15/2026"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does AX's Form 144 filing indicate?

It indicates a notice of proposed resale of restricted common stock through a broker. The excerpt shows restricted-stock lots of 864 and 730 shares dated 03/15/2026, filed with a date entry of 06/08/2026.

Who is the broker handling the proposed sales in the AX Form 144?

The broker listed is Morgan Stanley Smith Barney LLC Executive Financial Services at 1 New York Plaza, 8th Floor. The filing names the broker and an NYSE reference in the excerpt.

Does Form 144 confirm the shares were sold?

No. Form 144 is a notice of intent to sell restricted or control securities. The excerpt lists proposed lots (864 and 730 shares) and dates, but it does not confirm completed sales or settlement details.

What securities are described in the AX Form 144 excerpt?

The securities are Common stock described as Restricted Stock. Each lot in the excerpt is labeled "Issuer" with transaction date 03/15/2026 and specific share counts.

What dates appear on the AX Form 144 excerpt?

The excerpt shows transaction/issue dates of 03/15/2026 for the restricted-stock lots and a filing or related entry date of 06/08/2026 associated with the broker and NYSE line.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/08/2026 - 04:39 PM EDT Learn about SEC filing dates

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	0001778031
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	AXOS FINANCIAL, INC.
SEC File Number	001-37709
Address of Issuer	9205 West Russell Road, Suite 400 Las Vegas NEVADA 89148
Phone	(858) 649-2218
Name of Person for Whose Account the Securities are To Be Sold	THOMAS CONSTANTINE
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	Officer

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	1594	140574.86	56884635	06/08/2026	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	03/15/2026	Restricted Stock	Issuer			864	03/15/2026	Not Applicable
Common	03/15/2026	Restricted Stock	Issuer			730	03/15/2026	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	06/08/2026
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	/s/ Thomas M Constantine
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)