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 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.
Axos Financial, Inc. EVP and Chief Credit Officer Thomas M. Constantine reported compensation-related equity activity. On March 15, 2026, previously granted restricted stock units vested into 3,617 shares of common stock, and Axos retained 1,168 and 855 shares for tax withholding. He also received a new grant of 2,953 RSUs. Following these transactions, he directly holds 17,671 shares of common stock, 14,718 RSUs, and indirectly holds 2,934 shares through a 401(k) plan.
Axos Financial EVP Eshel Bar-Adon reported routine equity compensation activity involving restricted stock units (RSUs) and common shares. On March 15, 2026, 3,050 RSUs (1,634 and 1,416) vested and were converted into an equal number of Axos Financial common shares, consistent with the plan’s one-third annual vesting schedule.
On the same date, Bar-Adon received a new grant of 3,248 RSUs under the Axos Financial, Inc. 2014 Stock Incentive Plan. The company retained 1,715 common shares (952 and 763) for tax withholding in connection with the net settlement of the vested RSUs, a non-market disposition back to the issuer.
Following these transactions, Bar-Adon holds 128,872 shares of common stock directly and 3,379 shares indirectly through a 401(k) plan. Each RSU represents a contingent right to receive one share of common stock and is accompanied by dividend equivalent rights.