SEC Form 4 · accession 0002046152-26-000006
Axos Financial, Inc. · AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Candace L Thiele
Other
Period of report
Sep 15, 2026
Accepted (ET)
Sep 16, 2026 · 7:36 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001299709
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 15, 2026 | M | 1,122 | $92.68 | A | 2,130 | D | |
| Common StockF2 | Sep 15, 2026 | D | 547 | $92.68 | D | 1,583 | D | |
| Common Stock | holding | — | — | — | 348 | I | 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4,F5 | — | Sep 15, 2026 | M | 1,122 | D | — | — | Common Stock | 1,122 | 3,419 | D |
| Restricted Stock UnitsF6,F4,F5 | — | Sep 15, 2026 | A | 1,079 | A | — | — | Common Stock | 1,079 | 4,498 | D |
Explanation of responses
- F1Represents shares of Common Stock issued on September 15, 2026, 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 Amended and Restated 2014 Stock Incentive Plan.
- F2Represents 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.
- F3The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. The RSUs are accompanied by dividend equivalent rights.
- F4Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
- F5The RSUs vest as to one-third of the shares on each anniversary date of grant.
- F6Grant to the reporting person on September 15, 2026 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan.