Axos Financial, Inc. — Director's Dealing 2023

Mar 24, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Axos Financial, Inc. (AX)
CIK: 0001299709
Period of Report: 2023-03-23

Reporting Person: PARK DAVID X (EVP, Commercial Banking & Trea)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-03-23	Common Stock	M	1135	$36.37	Acquired	10913	Direct
2023-03-23	Common Stock	D	562	$36.37	Disposed	10351	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-03-23	Restricted Stock Units	$	M	1135	Disposed		Common Stock (1135)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	545	Indirect

Footnotes

F1: Represents shares of Common Stock issued on March 23, 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.

F2: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.

F3: 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.

F4: 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.

F5: The RSUs vest as to one-third of the shares on each anniversary date of grant.