Axos Financial, Inc. filings document the bank holding company’s operating results, material events, capital structure and public-company disclosures. Its SEC records identify common stock with a $0.01 par value listed on the New York Stock Exchange under AX and include 8-K reports for quarterly results, earnings supplements and Regulation FD investor presentations.
The filings also cover disclosure areas tied to Axos Bank, Axos Clearing LLC and Axos Invest, Inc., including Banking Business and Securities Business segment results, material agreements, shareholder voting matters, bank regulatory matters, risk language and capital-structure information.
Axos Financial, Inc. (AX) reported that EVP and Chief Credit Officer Thomas M. Constantine had multiple equity transactions on September 15, 2026. Restricted Stock Units (RSUs) covering 3,905 shares of common stock vested and were converted into common stock, while 2,102 shares of common stock were returned to Axos Financial, Inc. for tax withholding in a net-settlement. On the same date, he received a new grant of RSUs covering 2,806 shares of common stock under the Axos Financial, Inc. 2014 Stock Incentive Plan, which includes dividend equivalent rights and vests in one-third installments on each anniversary of the grant date. A holding entry also shows 2,934 shares of common stock held indirectly through a 401(k) Plan. No Rule 10b5-1 trading plan is reported.
Axos Financial, Inc. (AX) reported that Brian D. Swanson, President, Consumer Bank, had Restricted Stock Units vest and a new equity award on September 15, 2026. 3,381 RSUs vested into 3,381 common shares, of which 1,822 shares were returned to Axos Financial, Inc. for tax withholding in a net-settlement, leaving the remainder issued to him. On the same date, he received a new grant of 2,968 RSUs, each representing a contingent right to one share of common stock and vesting in one-third increments on each anniversary of the grant date. He also reported 2,869 common shares held indirectly through a 401(k) Plan after these transactions. No Rule 10b5-1 trading plan is reported.
Axos Financial, Inc. (AX) director Nick Mosich reported an amended insider transaction reflecting a prior sale of common stock. On February 17, 2026, he sold 1,275 shares of Axos common stock at $98.00 per share. Following the correction in this Form 4/A, his reported beneficial ownership after the sale is 64,849 shares of common stock.
The amendment states it was filed to correct the amount of securities beneficially owned following the reported transaction; the reported sale terms remain the same, and no Rule 10b5-1 trading plan is affirmed.
Axos Financial, Inc. (symbol: AX) is the issuer of record for a Form 4 filing submitted to the SEC. Garrabrants Gregory reported acquisition or exercise transactions in this Form 4 filing.
Axos Financial, Inc. (AX) reported that President and CEO Gregory Garrabrants received a grant of 61,482 Restricted Stock Units (RSUs) on September 3, 2026 under the Axos Financial, Inc. 2014 stock incentive plan, in connection with his employment contract as Chief Executive Officer.
Each RSU represents a contingent right to receive one share of Axos Financial, Inc. common stock, and the RSUs vest over four years, with one-fourth vesting on each fiscal year-end following the grant date. Following this award, Garrabrants holds 454,229 RSUs directly.
Axos Financial, Inc. (AX) files its annual report describing a technology-driven, diversified financial services business operating through banking and securities segments. The company reports approximately $30.0 billion in assets and about $47.8 billion of assets under custody and/or administration at Axos Clearing.
The banking segment offers nationwide digital consumer and commercial deposit products and a broad loan portfolio spanning single-family, multifamily, commercial real estate, commercial & industrial, auto and other consumer loans, and an available-for-sale securities portfolio for liquidity and interest-rate risk management. Deposits are sourced primarily through online, affinity, commercial and software-driven channels rather than branches.
The securities segment, via Axos Clearing, Axos Advisor Services and Axos Invest, provides clearing, custody, margin lending, securities lending, and digital investing, generating both fee and interest income and supplying low-cost deposits. Axos and its bank subsidiary are well-capitalized, heavily regulated by the Federal Reserve, OCC, FDIC, CFPB, SEC and FINRA, and subject to extensive risk factors including interest-rate sensitivity, macroeconomic and real-estate concentration risks, regulatory and compliance burdens, and technology, cybersecurity and operational risks.
Axos Financial, Inc. director Santi Roque A reported selling 500 shares of Common Stock on 2026-08-05 at $105.30 per share in an open-market or private transaction. Following the sale, he directly owns 7,146 shares. The filing does not indicate a Rule 10b5-1 trading plan.
State Street Corporation reported beneficial ownership of AXOS FINANCIAL INC common stock. The filing states beneficial ownership of 3,023,908 shares, representing 5.3% of the class. State Street reports no sole voting or dispositive power, with shared voting power over 449,851 shares and shared dispositive power over 3,023,908 shares held through its investment management subsidiaries, including SSGA Funds Management, Inc. and several State Street Global Advisors entities.
Axos Financial, Inc. provides an investor presentation dated August 6, 2026 that will be used in investor meetings beginning around August 11, 2026. The information is presented as of August 6, 2026 and is accompanied by standard forward-looking statement cautions.
The presentation highlights consolidated fiscal fourth quarter 2026 results versus the prior year quarter, including asset growth of 21%, deposit growth of 18%, net income growth of 13%, and diluted EPS growth of 13%, with Q4 2026 net income of $124.9 million and diluted EPS of $2.16. Consolidated return on equity is 15.69% and return on assets is 1.69%. At the bank level, Axos reports ROE of 22.72%, ROAA of 2.22%, and an efficiency ratio of 41.51%, described as top-percentile performance versus a savings-bank peer group. Total deposits were $24.6 billion as of June 30, 2026, with approximately 85% FDIC-insured or collateralized and diversified across consumer, specialty, small business, commercial, treasury, fiduciary, and securities channels. Non-interest income is shown growing from $103.0 million in the year ended June 30, 2020 to an annualized $247.5 million based on the quarter ended June 30, 2026, supported by Axos securities clearing and custody operations with $47.8 billion in client assets under custody and/or administration.
FMR LLC filed a Schedule 13G reporting beneficial ownership of common stock of Axos Financial, Inc.. FMR LLC and Abigail P. Johnson report aggregate beneficial ownership of 2,969,245.68 shares of Axos common stock, representing 5.2% of the outstanding class as of the filing.
FMR LLC reports sole voting power over 2,962,071 shares and sole dispositive power over 2,969,245.68 shares, with no shared voting or dispositive power. The filing notes that one or more other persons have rights to receive dividends or proceeds from sales of these securities, but no such person holds more than five percent of the total outstanding common stock.
AX received a notice of proposed sale of common stock by shareholder Roque Santi. The filing contemplates the sale of 500 common shares through Morgan Stanley Smith Barney LLC Executive Financial Services, with an aggregate value of $52,650.00, on or after August 5, 2026 on the NYSE. The shares were originally acquired as restricted stock from the issuer on August 31, 2024. The filing also reports that the same shareholder sold 500 common shares on May 8, 2026 for $43,888.50.