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.
Evaluating a digital bank that juggles California mortgage exposure, specialty consumer loans, and securities operations is no small task. Axos Financial’s disclosures span hundreds of pages, detailing everything from net-interest income to the credit quality of niche lending portfolios. Searching for Axos Financial insider trading Form 4 transactions or dividend policy shifts inside a 10-K can drain hours.
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Here’s what you can uncover:
- Loan-book composition and regional mortgage concentrations inside the 10-K
- Deposit growth trends and digital account metrics in each 10-Q
- Management commentary on rate moves found in 8-K investor presentations
- Board pay packages within the Axos Financial proxy statement executive compensation
- Patterns in Axos Financial executive stock transactions Form 4 before earnings
Axos Financial, Inc. (AX) director Paul Grinberg reported equity compensation activity involving the company’s common stock and restricted stock units (RSUs). On 11/14/2025, 12,865 RSUs were converted into the same number of common shares at an exercise price of $0.00 per share, increasing his holdings. On the same date, 6,432 common shares were withheld and surrendered to Axos Financial, Inc. at $79.12 per share to cover tax liabilities tied to the vesting, leaving 119,728 common shares beneficially owned directly.
The filing also shows a new grant of 10,845 RSUs on 11/14/2025 in connection with Grinberg’s service on the Board of Directors. Each RSU represents a right to receive one share of Axos common stock, and these RSUs fully vest on January 3, 2027, subject to the terms of the company’s Amended and Restated 2014 Stock Incentive Plan.
Axos Financial, Inc. (AX) director Uzair Dada reported changes in his ownership of company stock tied to restricted stock units (RSUs). On 11/14/2025, 4,289 RSUs were converted into the same number of shares of common stock at a reference price of $79.12. Of these, 2,144 shares were retained by Axos Financial, Inc. in exchange for cash paid to cover his tax liabilities, and the remaining shares increased his direct holdings to 31,555 shares of common stock.
The filing also shows derivative activity in RSUs. One RSU award of 4,289 units was settled into common stock, leaving no units remaining from that grant. On the same date, a new grant of 3,615 RSUs was awarded in connection with his service on the Board of Directors, bringing his RSU balance to 3,615 units. Each RSU represents a contingent right to receive one share of common stock, with these RSUs scheduled to fully vest on January 3, 2027.
Axos Financial, Inc. (AX) director transaction: A board member reported equity activity involving vested restricted stock units (RSUs) and a new RSU grant. On 11/14/2025, 4,724 RSUs were converted into an equal number of common shares, and some of those shares were withheld by Axos to cover the director's tax liabilities, leaving 43,332 common shares held directly afterward. The filing explains that these shares were issued following the vesting of RSUs that vest on the one-year anniversary of the grant date under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan.
The director also holds 1,200 common shares indirectly through a spouse's IRA account. In addition, the director received a new grant of 3,982 RSUs on 11/14/2025 in connection with continued service on the Board of Directors. Each RSU represents a contingent right to receive one share of Axos common stock, with the newly granted RSUs scheduled to fully vest on January 3, 2027.
Axos Financial, Inc. director equity activity: A Form 4 reports that a director of Axos Financial, Inc. (AX) received 4,289 shares of Common Stock on November 14, 2025 following the vesting of previously granted Restricted Stock Units (RSUs) under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. These RSUs vest on the one-year anniversary of their grant date.
Of the vested shares, 2,144 shares of Common Stock were retained by Axos Financial, Inc. in exchange for cash paid to the reporting person to cover tax liabilities on the vested RSUs. After these transactions, the director directly owned 11,148 shares of Common Stock. The filing also shows a new award of 3,615 RSUs, granted in connection with service on the Board of Directors, each representing a contingent right to receive one share of Common Stock, which fully vest on January 3, 2027.
Axos Financial, Inc. director reports RSU vesting, new grant, and related share withholding. On 11/14/2025, the director exercised 4,289 previously granted restricted stock units (RSUs), receiving the same number of Axos common shares at an exercise price of $0.00. At the same time, 2,144 shares of common stock at $79.12 per share were retained by Axos to cover tax liabilities tied to the vested RSUs, reducing directly held common shares from 17,208 to 15,064.
Also on 11/14/2025, the director received a new award of 3,615 RSUs under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan for Board service. Each RSU represents a contingent right to receive one share of Axos common stock, and the new RSUs are scheduled to fully vest on January 3, 2027.
Axos Financial, Inc. (AX) director James Argalas reported equity compensation activity involving the company’s common stock. On 11/14/2025, 4,289 shares of common stock were issued following the vesting of Restricted Stock Units (RSUs) granted under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan, in connection with his service on the Board of Directors.
On the same date, 2,144 shares of common stock were retained by Axos Financial, Inc. in exchange for cash paid to cover tax liabilities related to the vested RSUs, leaving 73,340 shares of common stock beneficially owned directly after these transactions. In addition, 3,615 new RSUs were granted, each representing a contingent right to receive one share of common stock, and these RSUs are scheduled to fully vest on January 3, 2027.
Axos Financial, Inc. (AX) senior vice president and chief accounting officer Ann Gill reported routine equity compensation activity. On 11/15/2025, 1,000 shares of common stock were acquired at $79.12 per share upon the vesting and settlement of previously granted restricted stock units. On the same date, 538 shares were disposed of at $79.12 per share, representing shares withheld by Axos Financial, Inc. to cover tax obligations tied to the vesting. Following these transactions, Gill beneficially owns 9,712 shares of common stock directly and 1,010 shares through a 401(k) plan, along with 8,875 restricted stock units that continue to vest over time.
Axos Financial, Inc. (AX) reported the results of its annual meeting of stockholders held on November 13, 2025. A quorum was present with 49,480,296 shares represented, or 87.42% of the 56,595,223 shares eligible to vote as of September 16, 2025.
Stockholders voted on four proposals. For the Class III director elections, votes cast were: James S. Argalas (For 42,034,547; Withheld 1,900,294), James J. Court (For 27,435,298; Withheld 16,499,543), Stefani D. Carter (For 27,584,082; Withheld 16,350,759), and Roque A. Santi (For 42,645,512; Withheld 1,289,329), with 5,545,455 broker non-votes for each.
On the advisory vote on executive compensation, votes were For 25,671,253, Against 18,081,439, Abstain 182,149, plus 5,545,455 broker non-votes. For the amendment to the Amended and Restated 2014 Stock Incentive Plan, votes were For 27,625,699, Against 16,153,783, Abstain 155,359, with 5,545,455 broker non-votes. Auditor ratification (BDO USA, P.C.) received For 49,168,916, Against 252,989, Abstain 58,391.
Axos Financial, Inc. filed an 8-K under Regulation FD, furnishing an investor presentation for use at investor meetings beginning on or around November 17, 2025. The materials are presented as of November 12, 2025 and are not deemed “filed” for liability purposes unless specifically incorporated by reference.
Exhibits include 99.1 (presentation), 99.2 (presentation PDF), and 104 (cover page Inline XBRL).
Axos Financial (AX) disclosed an insider gift transaction by its EVP and Chief Risk Officer. On 11/05/2025, the reporting person executed a Code G transaction involving 4,450 shares of common stock at $0.0 per share.
According to the footnote, the reporting person assigned the right to receive these 4,450 shares to The Charles Hahn Family Foundation SPC, a Section 501(c)(3) charitable organization, and disclaimed beneficial ownership of those securities.
Following the reported transaction, the insider reported 26,132 shares held directly and 2,591 shares held indirectly through a 401(k) Plan.
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