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  4. [Form 4] Axos Financial, Inc. Insider Trading Activity

Axos Financial (AX) director updates holdings after RSU vesting

Filing Impact
(Moderate)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

Axos Financial, Inc. (AX) director equity activity centered on restricted stock units and related tax withholding. The reporting director acquired 5,443 shares of common stock through the settlement of previously granted restricted stock units at a reference price of $79.12 per share, then disposed of 2,721 shares at $79.12 to cover tax liabilities, leaving 82,217 shares of common stock held directly.

In the derivative table, 5,443 restricted stock units converted into an equal number of common shares, and a new grant of 4,588 restricted stock units was reported, each representing the right to receive one share of Axos common stock at a stated price of $0.0. These 4,588 restricted stock units were granted under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with service on the Board of Directors and are scheduled to fully vest on January 3, 2027, resulting in 4,588 derivative securities beneficially owned directly after the transactions.

Positive

  • None.

Negative

  • None.
Insider Nick Mosich
Role Director
Type Security Shares Price Value
Exercise Restricted Stock Units 5,443 $0.00 --
Grant/Award Restricted Stock Units 4,588 $0.00 --
Exercise Common Stock 5,443 $79.12 $431K
Disposition Common Stock 2,721 $79.12 $215K
Holdings After Transaction: Restricted Stock Units — 0 shares (Direct); Common Stock — 84,938 shares (Direct)
Footnotes (1)
  1. Represents shares of Common Stock issued on November 14, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs fully vest on the one year anniversary of the grant date. The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. The RSU's fully vest on January 3, 2027.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Nick Mosich
(Last) (First) (Middle)
9205 WEST RUSSELL ROAD
SUITE 400
(Street)
LAS VEGAS NV 89148
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Axos Financial, Inc. [ AX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/14/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock(1) 11/14/2025 M 5,443 A $79.12 84,938 D
Common Stock 11/14/2025 D 2,721(2) D $79.12 82,217 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units(3) (4) 11/14/2025 M 5,443 (5) (5) Common Stock 5,443 $0.0 0 D
Restricted Stock Units(6) (4) 11/14/2025 A 4,588 (7) (7) Common Stock 4,588 $0.0 4,588 D
Explanation of Responses:
1. Represents shares of Common Stock issued on November 14, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan.
2. Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs.
3. The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors.
4. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
5. The RSUs fully vest on the one year anniversary of the grant date.
6. The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors.
7. The RSU's fully vest on January 3, 2027.
By: Derrick Walsh For: Nicholas Mosich 11/18/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What did the Axos Financial (AX) director report in this Form 4?

The filing reports that a director of Axos Financial, Inc. settled previously granted restricted stock units into 5,443 shares of common stock and disposed of 2,721 shares to cover tax liabilities, updating both stock and RSU holdings.

How many Axos Financial (AX) shares does the director hold after these transactions?

After the reported transactions, the director beneficially owns 82,217 shares of Axos Financial, Inc. common stock in direct ownership.

How many restricted stock units were converted to Axos Financial (AX) common stock?

A total of 5,443 restricted stock units were converted into 5,443 shares of Axos Financial, Inc. common stock, consistent with each RSU representing one share.

Why were 2,721 Axos Financial (AX) shares disposed of by the director?

The filing explains that 2,721 shares of Axos Financial, Inc. common stock were retained by the company in exchange for cash paid to the director to satisfy tax liabilities related to the vested restricted stock units.

What new restricted stock units did the Axos Financial (AX) director receive?

The director received a new grant of 4,588 restricted stock units under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan, each RSU representing a contingent right to receive one share of common stock.

When do the newly granted Axos Financial (AX) RSUs vest?

The filing states that the 4,588 restricted stock units granted to the director fully vest on January 3, 2027, in connection with service on the Board of Directors.