[144] Axos Financial, Inc. SEC Filing

Rhea-AI Filing Summary

Axos Financial, Inc. reported a Notice of Proposed Sale on Form 144 for 4,380 common shares held as restricted stock to be sold through Morgan Stanley Smith Barney LLC on the NYSE with an aggregate market value of $394,253.50. The filer shows the shares were acquired from the issuer as restricted stock on 08/01/2021 (1,000 shares), 08/31/2021 (1,690 shares) and 09/05/2021 (1,690 shares). The filing lists 56,486,144 shares outstanding and an approximate sale date of 09/02/2025. The filer discloses no sales of issuer securities in the past three months and affirms no undisclosed material adverse information.

Positive

• None.

Negative

• Proposed insider sale of 4,380 common shares (aggregate value $394,253.50) is disclosed, which could be perceived negatively despite being immaterial.

Insights

Securities Compliance Analyst

TL;DR: Routine Rule 144 notice for a small proposed sale of restricted shares; procedural compliance appears in order.

The filing documents a proposed public sale of 4,380 common shares acquired as restricted stock in August–September 2021. Details include the executing broker, aggregate market value, and an anticipated sale date. There are no reported sales in the past three months, and the filer affirms lack of undisclosed material adverse information. From a compliance perspective, the form contains the key fields required to permit a Rule 144 sale, including acquisition dates and share counts. The size of the position relative to total outstanding shares (<0.01%) suggests limited market impact.

Equity Markets Analyst

TL;DR: Insider proposes a modest sale; impact on AX share supply and price is immaterial.

The notice shows the shares originated as issuer-granted restricted stock in 2021 and are being routed through a major broker on the NYSE. Aggregate value (~$394k) versus 56.49 million shares outstanding implies the transaction is immaterial to market capitalization and unlikely to move the stock. The absence of recent sales by the same person reduces concerns about concentrated offloading. This is a routine disclosure rather than a signal of operational or financial change at Axos Financial.

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	4380	394253.50	56486144	09/02/2025	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			1000	08/01/2021	Not Applicable
Common	08/31/2021	Restricted Stock	Issuer			1690	08/31/2021	Not Applicable
Common	09/05/2021	Restricted Stock	Issuer			1690	09/05/2021	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

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 Axos Financial's Form 144 (AX) disclose?

The Form 144 discloses a proposed sale of 4,380 common shares through Morgan Stanley Smith Barney LLC on the NYSE, with an aggregate market value of $394,253.50 and an approximate sale date of 09/02/2025.

When were the shares being sold by the filer acquired?

The shares were acquired as restricted stock from the issuer on 08/01/2021 (1,000 shares), 08/31/2021 (1,690 shares), and 09/05/2021 (1,690 shares).

How many Axos Financial shares are outstanding per the filing?

The filing reports 56,486,144 shares outstanding.

Did the filer report any securities sold in the past three months?

No. The filing states Nothing to Report for securities sold during the past three months by the person for whose account the securities are to be sold.

Which broker will execute the proposed sale?

The sale lists Morgan Stanley Smith Barney LLC, Executive Financial Services, 1 New York Plaza, 8th Floor, New York, NY as the broker.