0001299709-23-000251.txt : 20230918 0001299709-23-000251.hdr.sgml : 20230918 20230918160303 ACCESSION NUMBER: 0001299709-23-000251 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230915 FILED AS OF DATE: 20230918 DATE AS OF CHANGE: 20230918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Santi Roque A CENTRAL INDEX KEY: 0001316254 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37709 FILM NUMBER: 231261182 MAIL ADDRESS: STREET 1: C/O ECC CAPITAL CORPORATION STREET 2: 1833 ALTON PARKWAY CITY: IRVINE STATE: CA ZIP: 92606 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Axos Financial, Inc. CENTRAL INDEX KEY: 0001299709 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 330867444 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 9205 WEST RUSSELL ROAD STREET 2: SUITE #400 CITY: LAS VEGAS STATE: NV ZIP: 89148 BUSINESS PHONE: (858) 649-2218 MAIL ADDRESS: STREET 1: 9205 WEST RUSSELL ROAD STREET 2: SUITE #400 CITY: LAS VEGAS STATE: NV ZIP: 89148 FORMER COMPANY: FORMER CONFORMED NAME: BofI Holding, Inc. DATE OF NAME CHANGE: 20040805 4 1 edgardoc.xml PRIMARY DOCUMENT X0508 4 2023-09-15 0 0001299709 Axos Financial, Inc. AX 0001316254 Santi Roque A 9205 WEST RUSSELL ROAD SUITE 400 LAS VEGAS NV 89148 1 0 0 0 0 Common Stock 2023-09-15 4 M 0 6000 42.4 A 6000 D Common Stock 2023-09-15 4 D 0 3000 42.4 D 3000 D Restricted Stock Units 2023-09-15 4 M 0 6000 0.0 D Common Stock 6000 6000 D Represents shares of Common Stock issued on September 15, 2023, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs fully vest on the anniversary date of grant. By: Derrick K. Walsh For: Roque Santi 2023-09-18