0001299709-22-000271.txt : 20220927 0001299709-22-000271.hdr.sgml : 20220927 20220927194339 ACCESSION NUMBER: 0001299709-22-000271 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220923 FILED AS OF DATE: 20220927 DATE AS OF CHANGE: 20220927 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: 221272538 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 X0306 4 2022-09-23 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 Common Stock 2022-09-24 4 M 0 1429 36.8 A 26786 D Common Stock 2022-09-24 4 D 0 752 36.8 D 26034 D Common Stock 2111 I 401(k) Plan Restricted Stock Units 2022-09-23 4 A 0 5979 0.0 A Common Stock 5979 27633 D Restricted Stock Units 2022-09-24 4 M 0 1429 0.0 D Common Stock 1429 26204 D Represents shares of Common Stock issued on September 24, 2022 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 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. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. Grant to the reporting person on September 23, 2022 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 stock incentive plan in connection with the reporting person's employment contract 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. 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. By: Andrew J Micheletti For: Derrick Walsh 2022-09-27