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.
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. executive vice president and chief financial officer Derrick Walsh reported routine equity compensation activity. On March 20, 2026, 1,360 Restricted Stock Units vested and were converted into the same number of shares of common stock.
Of these shares, 733 shares of common stock were returned to Axos Financial, Inc. as a disposition to the issuer for tax withholding in connection with the net settlement of the vested RSUs. This reflects standard tax treatment rather than an open-market sale.
Following these transactions, Walsh directly holds 40,153 shares of common stock and indirectly holds 2,869 shares through a 401(k) plan. The RSUs were granted under the Axos Financial, Inc. 2014 Stock Incentive Plan and vest in three annual installments.
Axos Financial, Inc. executive vice president and chief risk officer John Charles Tolla reported equity compensation activity on March 20, 2026. He exercised or converted restricted stock units into 4,120 shares of common stock in total, at a stated price of $82.93 per share for the common stock entries. Of these, 2,221 shares were returned to Axos Financial, Inc. for tax withholding in connection with the net settlement of vested RSUs. Following these transactions, he directly holds 29,294 shares of common stock and indirectly holds 2,723 shares through a 401(k) plan, indicating a routine compensation-related adjustment rather than open-market buying or selling.
Axos Financial, Inc. executive Candace L. Thiele settled a tranche of Restricted Stock Units on March 20, 2026. She exercised RSUs into 444 shares of common stock, valued at $82.93 per share for reporting purposes. Of these, 217 shares were returned to Axos to cover tax withholding, leaving a net increase of 227 shares in her direct holdings. After the transactions, she directly holds 1,008 shares of common stock, plus 348 shares held indirectly through a 401(k) plan. The filing reflects routine equity compensation vesting rather than open‑market trading.
Axos Financial, Inc. President, Consumer Bank Brian D. Swanson reported routine equity compensation activity involving vested restricted stock units. On March 20, 2026, RSUs covering 4,120 shares of common stock vested and were converted into shares. Of these, 2,221 shares were returned to Axos Financial to satisfy tax withholding obligations, leaving Swanson with a net increase of 1,899 common shares. Following these transactions, he holds 58,023 common shares directly and 2,869 common shares indirectly through a 401(k) plan.
Axos Financial EVP and COO Raymond Matsumoto reported RSU vesting and related share adjustments. On March 20, 2026, 1,621 Restricted Stock Units converted into 1,621 shares of common stock, following the RSUs’ time-based vesting schedule under the company’s stock incentive plan.
A portion of these shares was returned to Axos Financial for tax withholding in a net-settlement, described as a disposition to the issuer rather than an open-market sale. After these transactions, Matsumoto holds 41,633 shares of common stock directly and 2,237 shares indirectly through a 401(k) plan.
Axos Financial, Inc. senior vice president and chief accounting officer Ann Gill exercised restricted stock units into 601 shares of common stock on March 20, 2026 as part of a scheduled RSU vesting under the company’s stock incentive plan.
Of the newly issued shares, 323 shares were retained by Axos Financial, Inc. to cover tax withholding through a net-settlement, leaving Gill with additional net common stock. Following these transactions, she holds 10,581 common shares directly and 1,423 shares indirectly through a 401(k) plan.
Axos Financial, Inc. EVP David M. Crow reported routine equity compensation activity tied to vested restricted stock units (RSUs). On March 20, 2026, 583 RSUs converted into 583 shares of common stock under the company’s 2014 Stock Incentive Plan, which vests one-third on each grant anniversary.
Of the issued shares, 200 were returned to Axos Financial for tax withholding in a net-settlement, leaving a net increase in his directly held common stock. Following these transactions, Crow directly owned 1,716 common shares and indirectly held 198 shares through a 401(k) plan. The RSUs carry dividend equivalent rights and each represents a right to receive one share of common stock upon vesting.
Axos Financial EVP and Chief Credit Officer Constantine Thomas reported routine equity compensation activity. On March 20, 2026, 1,124 Restricted Stock Units vested, each converting into one share of Axos Financial, Inc. Common Stock under the company’s 2014 Stock Incentive Plan.
Of these shares, 606 shares of Common Stock were retained by Axos Financial, Inc. for tax withholding in a disposition to the issuer at $82.93 per share, leaving a net 518 new shares. After these transactions, Thomas held 18,189 shares of Common Stock directly and 2,934 shares indirectly through a 401(k) plan.
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.