Axos Financial (AX) exec nets 1,151 shares and new 1,814 RSU grant
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
Axos Financial, Inc. executive Brian D. Swanson reported compensation-related equity activity. On March 15, 2026, previously granted restricted stock units (RSUs) vested into 2,601 shares of common stock, while 1,450 shares were retained by Axos Financial, Inc. to cover tax withholding through net settlement, leaving a net 1,151 shares issued.
On the same date, Swanson also received a new grant of 1,814 RSUs under the Axos Financial, Inc. 2014 Stock Incentive Plan, each RSU representing one share of common stock and carrying dividend equivalent rights. Following these transactions, he holds 56,124 shares of common stock directly, 2,869 shares indirectly through a 401(k) plan, and 24,776 RSUs.
Positive
- None.
Negative
- None.
Insider Trade Summary
2,601 shares exercised/converted
Mixed
8 txns
Insider
Swanson Brian D
Role
Insider
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Restricted Stock Units | 1,387 | $0.00 | -- |
| Exercise | Restricted Stock Units | 1,214 | $0.00 | -- |
| Grant/Award | Restricted Stock Units | 1,814 | $0.00 | -- |
| Exercise | Common Stock | 1,387 | $84.68 | $117K |
| Exercise | Common Stock | 1,214 | $84.68 | $103K |
| Disposition | Common Stock | 796 | $84.68 | $67K |
| Disposition | Common Stock | 654 | $84.68 | $55K |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Restricted Stock Units — 24,176 shares (Direct);
Common Stock — 56,360 shares (Direct);
Common Stock — 2,869 shares (Indirect, 401(k) Plan)
Footnotes (1)
- Represents shares of Common Stock issued on March 15, 2026, following the vesting of Restricted Stock Units ("RSUs") which vest as to one-third of the shares on each anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Amended and Restated 2014 Stock Incentive Plan. Represents shares of Common Stock retained by Axos Financial, Inc. for tax withholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSUs. The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. The RSUs are accompanied by dividend equivalent rights. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs vest as to one-third of the shares on each anniversary date of grant. Grant to the reporting person on March 15, 2026 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan.
FAQ
What insider transactions did Axos Financial (AX) report for Brian D. Swanson?
Brian D. Swanson reported RSU vesting, tax withholding, and a new RSU grant. Previously granted RSUs vested into 2,601 common shares, 1,450 shares were withheld for taxes, and he received 1,814 new RSUs under the company’s 2014 Stock Incentive Plan.
What new equity award did Brian D. Swanson receive from Axos Financial (AX)?
Swanson received a grant of 1,814 restricted stock units. The RSUs were granted under the Axos Financial, Inc. 2014 Stock Incentive Plan, vest one-third on each anniversary of grant, and each RSU represents a contingent right to receive one share of common stock.
What are Brian D. Swanson’s Axos Financial (AX) holdings after these transactions?
Swanson holds direct, indirect, and RSU interests in Axos. After the reported activity, he owns 56,124 common shares directly, 2,869 shares indirectly through a 401(k) plan, and 24,776 restricted stock units that may convert into common shares upon vesting.
How do the Axos Financial (AX) RSUs granted to Brian D. Swanson vest?
The RSUs vest in three equal annual installments. According to the disclosure, the restricted stock units vest as to one-third of the shares on each anniversary of the grant date, and are accompanied by dividend equivalent rights until settlement.