Axos Financial Insider Swanson Files Form 4; Transaction Details Pending

TL;DR

**Axos Financial insider filed a Form 4, but the actual trade details are missing, so no immediate signal.**

AI Summary

This Form 4 filing indicates that Brian D. Swanson, an insider at Axos Financial, Inc., filed a statement of changes in beneficial ownership of securities on March 24, 2026, for a transaction that occurred on March 20, 2026. While the filing confirms Swanson's reporting status and the company's details, it does not disclose the specifics of the transaction itself, such as whether shares were bought or sold, or the quantity involved. This matters to investors because insider transactions can signal management's confidence (or lack thereof) in the company's future, but without the transaction details, its impact is currently unclear.

Why It Matters

Insider filings like this can signal management's view on the company's prospects, but without the transaction specifics, investors cannot yet interpret its implications for Axos Financial, Inc.'s stock.

Risk Assessment

Risk Level: low — This filing is purely administrative, indicating a report was made, but lacks the substantive transaction details to pose a direct risk.

Analyst Insight

An investor should monitor subsequent filings or news from Axos Financial, Inc. for the actual transaction details to understand the implications of this insider filing. Without those specifics, no actionable insight can be derived.

Key Players & Entities

• Swanson Brian D (person) — Reporting insider
• Axos Financial, Inc. (company) — Issuer of securities
• 0001777936 (person) — CIK for Swanson Brian D
• 0001299709 (company) — CIK for Axos Financial, Inc.

FAQ

Filing Documents

• primary_doc.html (4)
• primary_doc.xml (4) — 14KB
• 0001777936-26-000003.txt ( ) — 15KB

From the Filing

SEC FORM 4 SEC Form 4 FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5    Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).    Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. 1. Name and Address of Reporting Person * Swanson Brian D (Last) (First) (Middle) 4350 LA JOLLA VILLAGE DRIVE SUITE 140 (Street) SAN DIEGO CALIFORNIA 92122 (City) (State) (Zip) UNITED STATES (Country) 2. Issuer Name and Ticker or Trading Symbol Axos Financial, Inc. [ AX ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) President, Consumer Bank 2a. Foreign Trading Symbol 3. Date of Earliest Transaction (Month/Day/Year) 03/20/2026 6. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person 4. If Amendment, Date of Original Filed (Month/Day/Year) Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Stock 2,869 I 401(k) Plan Common Stock (1) 03/20/2026 M 2,943 A $ 82.93 59,067 D Common Stock (1) 03/20/2026 M 1,177 A $ 82.93 60,244 D Common Stock 03/20/2026 D 1,587 (2) D $ 82.93 58,657 D Common Stock 03/20/2026 D 634 (2) D $ 82.93 58,023 D Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares Restricted Stock Units (3) (4) 03/20/2026 M 2,943 (5) (5) Common Stock 2,943 $ 0 21,833 D Restricted Stock Units (3) (4) 03/20/2026 M 1,177 (6) (6) Common Stock 1,177 $ 0 20,656 D Explanation of Responses: 1. Represents shares of Common Stock issued on March 20, 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. 2. 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. 3. 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. 4. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. 5. The RSUs vest over four years, one-fourth of the shares on each anniversary date of grant. 6. The RSUs vest as to one-third of the shares on each anniversary date of grant. Derrick Walsh for Brian Swanson 03/24/2026 ** Signature of Reporting Person Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Persons who respond to

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