0001299709-23-000279.txt : 20230926 0001299709-23-000279.hdr.sgml : 20230926 20230926165901 ACCESSION NUMBER: 0001299709-23-000279 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230923 FILED AS OF DATE: 20230926 DATE AS OF CHANGE: 20230926 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Walsh Derrick CENTRAL INDEX KEY: 0001636371 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37709 FILM NUMBER: 231281085 MAIL ADDRESS: STREET 1: 4350 LA JOLLA VILLAGE DRIVE STREET 2: SUITE 140 CITY: SAN DIEGO STATE: CA ZIP: 92122 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 2023-09-23 0 0001299709 Axos Financial, Inc. AX 0001636371 Walsh Derrick 9205 WEST RUSSELL ROAD SUITE 400 LAS VEGAS NV 89148 0 1 0 0 EVP, Chief Financial Officer 0 Common Stock 2023-09-23 4 M 0 3333 38.28 A 32454 D Common Stock 2023-09-23 4 M 0 1993 38.28 A 34447 D Common Stock 2023-09-23 4 D 0 1754 38.28 D 32693 D Common Stock 2023-09-23 4 D 0 1049 38.28 D 31644 D Common Stock 2023-09-24 4 M 0 1429 38.28 A 33073 D Common Stock 2023-09-24 4 D 0 752 38.28 D 32321 D Common Stock 2380 I 401(k) Plan Restricted Stock Units 2023-09-23 4 M 0 3333 0.0 D Common Stock 3333 27540 D Restricted Stock Units 2023-09-23 4 M 0 1993 0.0 D Common Stock 1993 25547 D Restricted Stock Units 2023-09-24 4 M 0 1429 0.0 D Common Stock 1429 24118 D Represents shares of Common Stock issued on September 23, 2023 following the vesting of Restricted Stock Units (RSUs) which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's employment agreement as Chief Financial Officer. Represents shares of Common Stock retained by Axos Financial, Inc. for tax withholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSUs. Represents shares of Common Stock issued on September 24, 2023 following the vesting of Restricted Stock Units (RSUs) which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's employment agreement as Chief Financial Officer. The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's employment agreement as Chief Financial Officer. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs vest as to one-third of the shares on each anniversary date of grant. By: Andrew J Micheletti For: Derrick Walsh 2023-09-26