Welcome to our dedicated page for Axos Financial SEC filings (Ticker: AX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page provides access to U.S. Securities and Exchange Commission filings for Axos Financial, Inc. (NYSE: AX), the holding company for Axos Bank, Axos Clearing LLC, and Axos Invest, Inc. Through these filings, investors can review the company’s detailed financial statements, risk disclosures, governance information, and documentation of material events affecting the business.
Axos Financial’s SEC reporting includes annual reports on Form 10-K and quarterly reports on Form 10-Q, which present consolidated financial results for its Banking Business Segment and Securities Business Segment. These reports typically cover net interest income, non-interest income, provisions for credit losses, non-interest expense, segment performance, capital ratios, and metrics such as book value and tangible book value per common share. They also describe Axos Bank’s nationwide consumer and business banking activities and the securities clearing and digital advisory services provided by Axos Clearing and Axos Invest.
Current reports on Form 8-K document significant events such as earnings releases, material definitive agreements, capital markets transactions, and acquisitions. Recent 8-K filings describe Axos Financial’s issuance of 7.00% Fixed-to-Floating Rate Subordinated Notes due 2035, the agreement and subsequent closing of the acquisition of Verdant Commercial Capital, LLC, the purchase of a commercial office complex in San Diego, California that Axos Bank intends to occupy as its headquarters at a future date, and matters submitted to a vote of stockholders at the annual meeting. Other 8-Ks address changes involving directors or certain officers and the use of investor presentations.
The company’s proxy statement on Form DEF 14A provides information on board composition, director elections, executive compensation, equity incentive plans, and shareholder voting procedures. It also outlines the agenda for the annual meeting of stockholders and the board’s recommendations on each proposal, including advisory votes on executive compensation and ratification of the independent registered public accounting firm.
On Stock Titan, these filings are supplemented with AI-powered summaries designed to highlight key points from lengthy documents. Users can quickly identify major changes in Axos Financial’s financial condition, capital structure, governance, and strategic transactions, and then drill into the full text of 10-K, 10-Q, 8-K, and DEF 14A filings as needed. Insider transaction reports on Form 4 and other ownership-related filings, when available, can also be reviewed to understand trading activity by directors and officers.
Axos Financial, Inc. executive Eshel Bar-Adon reported routine equity compensation activity involving restricted stock units and common shares. On March 20, 2026, 1,098 RSUs vested and converted into an equal number of common shares. Of these, 592 shares were returned to Axos Financial to satisfy tax withholding obligations, leaving a net increase of 506 shares in his direct holdings. Following these transactions, Bar-Adon directly holds 129,378 common shares and indirectly holds 3,379 shares through a 401(k) plan.
Axos Financial, Inc. reported that on March 19, 2026, the Office of the Comptroller of the Currency approved a planned deposit acquisition by its subsidiary, Axos Bank. This regulatory clearance is a key step toward completing the transaction.
The company currently expects the deposit acquisition to close in the quarter ending June 30, 2026. The report also notes that the only exhibit provided is the cover page interactive data file embedded within the Inline XBRL document.
Axos Financial, Inc. executive Michael James Watson reported routine equity compensation activity tied to restricted stock units on March 15, 2026. He exercised RSUs into 1,105 and 1,349 shares of common stock at $84.68 per share and received a new award of 2,020 RSUs under the company’s stock incentive plan.
A total of 610 and 685 common shares were returned to Axos Financial to cover tax withholding in connection with the net share settlement, rather than sold in the open market. After these transactions, Watson directly holds 5,753 shares of common stock and indirectly holds 777 shares through a 401(k) plan, indicating these are standard compensation and tax-related movements rather than discretionary trading.
Axos Financial, Inc. Executive Vice President and Chief Financial Officer Derrick Walsh reported equity compensation activity involving restricted stock units (RSUs) and common stock. On March 15, 2026, he exercised RSUs covering 3,607 shares of common stock, converting previously granted RSUs into shares at a stated price of $0.00 per unit.
In connection with this vesting, Axos Financial, Inc. retained shares of common stock for tax withholding through net settlement, recorded as dispositions to the issuer rather than open-market sales. Walsh also received a new grant of 3,130 RSUs under the company’s 2014 Stock Incentive Plan, which vest in three equal annual installments and carry dividend equivalent rights. Following these transactions, he directly owned 39,526 shares of common stock and indirectly held 2,869 shares through a 401(k) plan.
Axos Financial, Inc. EVP and Chief Risk Officer John Charles Tolla reported routine equity compensation activity tied to restricted stock units on March 15, 2026. He acquired 2,874 shares of Common Stock upon the vesting and conversion of RSUs and received a new grant of 2,953 RSUs, each representing one future share.
To cover associated tax obligations, 1,611 shares of Common Stock were retained by Axos Financial, Inc. in dispositions to the issuer rather than open-market sales. Following these transactions, Tolla directly holds 27,395 shares of Common Stock and indirectly holds 2,723 shares through a 401(k) plan, indicating a continuing equity stake in the company.
Axos Financial, Inc. executive Candace L. Thiele reported routine equity compensation activity. On March 15, 2026, previously granted restricted stock units (RSUs) vested and were converted into 803 shares of common stock, with matching RSU entries showing exercises at a conversion price of $0.00 per unit.
In connection with these vestings, 434 shares of common stock were retained by Axos Financial, Inc. to satisfy tax withholding obligations, as disclosed in the footnotes, so these dispositions were to the issuer rather than market sales. Thiele also received a new grant of 1,063 RSUs under the company’s 2014 Stock Incentive Plan, which vest in three equal annual installments and carry dividend equivalent rights.
After these transactions, Thiele holds 781 shares of common stock directly and 348 shares indirectly through a 401(k) plan, along with 4,985 RSUs representing contingent rights to receive an equal number of common shares upon future vesting.
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.
Axos Financial, Inc. executive Raymond D. Matsumoto, EVP and Chief Operating Officer, reported compensation-related stock activity on March 15, 2026. He exercised restricted stock units (RSUs) covering 2,474 and 1,956 shares of Common Stock, converting them into a total of 4,430 Common shares.
In connection with these RSU vestings, 1,055 and 1,398 Common shares were returned to Axos Financial, Inc. for tax withholding as part of a net-share settlement, rather than sold on the open market. Matsumoto also received a new grant of 3,189 RSUs under the company’s 2014 Stock Incentive Plan.
Following these transactions, he directly holds 40,886 shares of Common Stock and has 2,237 shares held indirectly through a 401(k) Plan, along with 18,734 RSUs reported as outstanding after the new award and vesting events.
Axos Financial, Inc. senior vice president and chief accounting officer Ann Gill reported routine equity compensation activity involving restricted stock units (RSUs) and common stock. On March 15, 2026, 1,448 RSUs vested and were converted into an equal number of common shares, consistent with the plan where one RSU equals one share.
In connection with the vesting, 458 and 399 common shares (857 total) were withheld and returned to Axos Financial for tax withholding under a net-settlement arrangement, rather than sold in the market. Gill also received a new grant of 1,359 RSUs under the company’s stock incentive plan. Following these transactions, she holds 10,303 shares of common stock directly and 1,423 shares indirectly through a 401(k) plan, along with 8,786 RSUs outstanding.
Axos Financial, Inc. executive David M. Crow reported routine equity compensation activity tied to restricted stock units. On March 15, 2026, 738 shares of common stock were issued upon RSU vesting, while 292 shares were returned to Axos for tax withholding. Crow also received a new grant of 827 RSUs under the 2014 Stock Incentive Plan. Following these transactions, he holds 1,333 shares of common stock directly, 5,355 RSUs and 198 shares indirectly through a 401(k) plan.