[144] Axos Financial, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 notice summary: This filing notifies a proposed sale of 620 shares of the issuer's common stock through Morgan Stanley Smith Barney LLC on 09/03/2025. The shares were acquired as restricted stock on 08/01/2021 from the issuer and carry an aggregate market value of $56,110.00. The record shows 4,380 shares were sold on 09/02/2025 by Nicholas Mosich for gross proceeds of $394,253.50. The total number of shares outstanding is listed as 56,486,144. The filer represents, by signing the notice, that they do not possess any undisclosed material adverse information about the issuer.

Insights

Financial Analyst

TL;DR: Small-volume insider sale disclosed; transaction size is modest relative to shares outstanding and likely neutral for valuation.

The filing documents a proposed sale of 620 restricted shares acquired in 2021 and an immediate prior sale of 4,380 shares. Compared with the stated 56,486,144 shares outstanding, these transactions represent a de minimis portion of the float. The details include broker (Morgan Stanley Smith Barney LLC), dates of sale, and gross proceeds for the prior sale ($394,253.50), which provide transparency about insider liquidity. Absent additional context about timing, intent, or a larger pattern of disposals, the direct market impact appears limited. This is a routine disclosure under Rule 144.

Corporate Governance Expert

TL;DR: Proper Rule 144 disclosure completed; no disclosed material adverse information and signature language included.

The form indicates compliance with Rule 144 reporting requirements: description of the securities, acquisition date (08/01/2021), nature of acquisition (Restricted Stock), broker information, and recent prior sale data. The filing includes the standard attestation that the seller is unaware of undisclosed material adverse information. From a governance perspective, the filing meets procedural expectations. There is no disclosure here of trading-plan adoption dates or other governance actions that would materially change 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	620	56110.00	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	08/01/2021	Restricted Stock	Issuer			620	08/01/2021	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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
NICHOLAS MOSICH 9205 West Russell Road, Suite 400 Las Vegas NV 89148	Common	09/02/2025	4380	394253.50

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 securities are being sold in the AX Form 144 filing?

The filing reports a proposed sale of 620 shares of common stock and notes a prior sale of 4,380 shares on 09/02/2025.

Who is the seller named in the Form 144?

The prior sale shown names Nicholas Mosich with an address in Las Vegas, NV; the proposed sale lists the broker but the filer identity fields are not fully populated in the provided content.

When were the 620 shares being offered acquired?

The 620 shares were acquired as restricted stock on 08/01/2021 from the issuer.

What broker is handling the proposed sale?

The proposed sale is to be executed through Morgan Stanley Smith Barney LLC, Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY 10004.

What is the aggregate market value and shares outstanding reported?

The aggregate market value for the 620 shares is listed as $56,110.00, and the number of shares outstanding is 56,486,144.