Transaction #9565 · Form 4 · 0001316254-25-000003
Axos Financial, Inc. · Exercise / conversion · Common Stock
Axos Financial, Inc. · Transacted November 14, 2025 · Filed November 18, 2025
What does this filing report?
An SEC Form 4 filing for Axos Financial, Inc. records an exercise / conversion involving Common Stock on November 14, 2025. The reported quantity was 4,289. The filing date is November 18, 2025. This is one transaction record; amounts are not allocated among any joint reporting owners.
The acquisition category describes how securities were received. It does not by itself establish a cash purchase of common stock. Read the transaction code definitionsand the original filing before interpreting the amounts.
Transaction details
- Company
- Axos Financial, Inc.
- Company CIK
- 0001299709
- Security type
- Non-derivative
- Acquisition type
- Exercise / conversion · Code M
- Quantity acquired
- 4,289
- Reported price
- 79.12
- Reference value
- 339,345.68
- Currency
- Currency not specified
- Ownership
- Direct
- Holdings after transaction
- 10,290
- Ownership description
- Not reported
- SEC acceptance time
- Nov 18, 2025, 7:26 PM EST
- 10b5-1 indication
- Not indicated
Reference value is reported quantity × reported price. It is not a confirmed cash payment or an estimate of a derivative's economic value. A missing currency is not assumed to be USD.
Reporting owners
- Santi Roque A ↗
Director
CIK 0001316254
These are the reporting owners named in the filing. Quantities and amounts are not allocated among co-reporters. Roles reflect this filing, not a current profile.
Company listings
The linked listing is identified separately from other current company listings.
Filing footnotes & remarks
- F1
- Represents shares of Common Stock issued on November 14, 2024, 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.
- F2
- 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.
- F3
- 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.
- F4
- Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
- F5
- The RSUs fully vest on the one year anniversary of the grant date.
- F6
- 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.
- F7
- The RSU's fully vest on January 3, 2027.
Footnotes are reproduced as plain text from the current source filing. For the full context, read the original SEC filing.
This record was updated Eastern Time. This is the stored record update time, not the transaction date. Report a correction.