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Garrabrants Gregory – ‘4’ for 6/30/20 re: Axos Financial, Inc.

On:  Wednesday, 7/1/20, at 8:04pm ET   ·   For:  6/30/20   ·   Accession #:  1299709-20-89   ·   File #:  1-37709

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 7/01/20  Garrabrants Gregory               4                      1:8K   Axos Financial, Inc.              Axos Financial, Inc.

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- edgardoc.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2020-06-30 </periodOfReport>
<notSubjectToSection16> 0 </notSubjectToSection16>
<issuer>
<issuerCik> 0001299709 </issuerCik>
<issuerName> Axos Financial, Inc. </issuerName>
<issuerTradingSymbol> AX </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001419425 </rptOwnerCik>
<rptOwnerName> Garrabrants Gregory </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> 9205 WEST RUSSELL ROAD </rptOwnerStreet1>
<rptOwnerStreet2> SUITE 400 </rptOwnerStreet2>
<rptOwnerCity> LAS VEGAS </rptOwnerCity>
<rptOwnerState> NV </rptOwnerState>
<rptOwnerZipCode> 89148 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 1 </isDirector>
<isOfficer> 1 </isOfficer>
<isTenPercentOwner> 0 </isTenPercentOwner>
<isOther> 0 </isOther>
<officerTitle> President and CEO </officerTitle>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
<footnoteId id="F1"/>
</securityTitle>
<transactionDate>
<value> 2020-06-30 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 232000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 22.08 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1499964 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-06-30 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> F </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 122148 </value>
<footnoteId id="F2"/>
</transactionShares>
<transactionPricePerShare>
<value> 22.08 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1377816 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
<nonDerivativeHolding>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 1691 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> 401(k) Plan </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
<nonDerivativeHolding>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 170680 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> I </value>
</directOrIndirectOwnership>
<natureOfOwnership>
<value> by Trust </value>
</natureOfOwnership>
</ownershipNature>
</nonDerivativeHolding>
</nonDerivativeTable>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> Restricted Stock Units </value>
<footnoteId id="F3"/>
</securityTitle>
<conversionOrExercisePrice>
<footnoteId id="F3"/>
</conversionOrExercisePrice>
<transactionDate>
<value> 2020-06-30 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 232000 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0.0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<footnoteId id="F4"/>
</exerciseDate>
<expirationDate>
<footnoteId id="F4"/>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 232000 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 280000 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
</derivativeTable>
<footnotes>
<footnote id="F1"> Represents shares of Common Stock issued on June 30, 2020 following the vesting of Restricted Stock Units ("RSUs") which vest one-fourth each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plans in connection with the reporting person's employment agreement as President and Chief Executive Officer. </footnote>
<footnote id="F2"> Represents 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. </footnote>
<footnote id="F3"> The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plans in connection with the reporting person's employment agreement as President and Chief Executive Officer. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs are accompanied by dividend equivalent rights. </footnote>
<footnote id="F4"> The RSUs vest over four years, one-fourth on each fiscal year-end following the date of grant. </footnote>
</footnotes>
<ownerSignature>
<signatureName> By: Andrew J. Micheletti For: Gregory Garrabrants </signatureName>
<signatureDate> 2020-07-01 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001299709-20-000089   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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