0001299709-23-000044.txt : 20230314 0001299709-23-000044.hdr.sgml : 20230314 20230314170716 ACCESSION NUMBER: 0001299709-23-000044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230312 FILED AS OF DATE: 20230314 DATE AS OF CHANGE: 20230314 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Swanson Brian D CENTRAL INDEX KEY: 0001777936 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37709 FILM NUMBER: 23731906 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 2023-03-12 0 0001299709 Axos Financial, Inc. AX 0001777936 Swanson Brian D 9205 WEST RUSSELL ROAD SUITE 400 LAS VEGAS NV 89148 0 0 0 1 EVP, Head of Consumer Bank Common Stock 2023-03-12 4 M 0 3118 37.66 A 44216 D Common Stock 2023-03-12 4 D 0 1800 37.66 D 42416 D Common Stock 2111 I 401(k) Plan Restricted Stock Units 2023-03-12 4 M 0 3118 0.0 D Common Stock 3118 18432 D Represents shares of Common Stock issued on March 12, 2023, following the vesting of Restricted Stock Units ("RSUs") which vest as to one-third of the shares on each anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. 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. 2014 Stock Incentive Plan. The RSUs are accompanied by dividend equivalent rights. The RSUs vest as to one-third of the shares on each anniversary date of grant. By: Derrick K. Walsh For: Brian Swanson 2023-03-14