Axos Financial officer proposes $86.5K stock sale

Axos lists 56,721,014 common shares outstanding.

Available on EDGAR 11/09/2026 - 04:07 PM EST Accepted by SEC EDGAR 11/09/2026 - 04:07 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Axos Financial, Inc. officer Thomas Constantine reported a proposed sale of 913 common shares with an aggregate market value of $86,479.45, with an approximate sale date of November 9, 2026. The shares were acquired from the issuer as restricted stock on September 15, 2026, in two lots of 426 and 487 shares; Morgan Stanley Smith Barney LLC is listed as the broker.

Key Figures

Shares proposed for sale: 913 common shares Aggregate market value: $86,479.45 Common shares outstanding: 56,721,014 common shares +2 more

5 metrics

Shares proposed for sale 913 common shares Approximate sale date: November 9, 2026

Aggregate market value $86,479.45 For the proposed sale of 913 common shares

Common shares outstanding 56,721,014 common shares Axos Financial, Inc.

Restricted stock acquired 426 shares Acquired from the issuer on September 15, 2026

Restricted stock acquired 487 shares Acquired from the issuer on September 15, 2026

Key Terms

Restricted Stock, Aggregate Market Value, Shares Outstanding

3 terms

Restricted Stock financial

"Nature of Acquisition Transaction: Restricted Stock"

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.

Aggregate Market Value financial

"Number of Shares or Other Units To Be Sold | Aggregate Market Value"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

Shares Outstanding financial

"Number of Shares or Other Units Outstanding"

Shares outstanding are the total number of a company’s stock units held by all shareholders, including institutional investors and company insiders — think of them as the total number of slices of the company’s ownership pie. Investors use this number to calculate how much of the company each share represents, and it directly affects per-share measures like earnings per share, ownership percentage and valuation; when the slice count changes, an investor’s claim and the company’s per-share metrics change too.

FAQ

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

How many AX shares did Thomas Constantine plan to sell?

Officer Thomas Constantine reported a proposed sale of 913 common shares, with an aggregate market value of $86,479.45. The approximate sale date is November 9, 2026.

How did Thomas Constantine acquire the AX shares listed for sale?

The shares were acquired from the issuer as restricted stock on September 15, 2026, in two lots: 426 shares and 487 shares.

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

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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	913	86479.45	56721014	11/09/2026	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	09/15/2026	Restricted Stock	Issuer			426	09/15/2026	Not Applicable
Common	09/15/2026	Restricted Stock	Issuer			487	09/15/2026	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	11/09/2026
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)