Company: AX
Filing Date: 2025-08-21
Form Type: 10-K
Source: 0001299709-25-000125
Chunk: 10

Company: Axos Financial, Inc.
Filing Date: 2025-08-21
Form: 10-K
Item: Item 8
Chunk 10
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 regarding the aggregate number of securities to be issued under all of our stock option and equity based compensation plans upon exercise of outstanding options, warrants and other rights and their weighted-average exercise prices as of June 30, 2025. There were no securities issued under equity compensation plans not approved by security holders.Plan Category(a)Number of securities to be issued upon exercise of outstanding options, warrants and rights(b)Weighted-average exercise price of outstanding options and units granted(c)Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a))Equity compensation plans approved by security holders— $— 1,191,861 Equity compensation plans not approved by security holdersN/AN/AN/ATotal— $— 1,191,861 

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ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE

The information called for by this item is incorporated herein by reference to the information contained in the sections captioned “Related Transactions And Other Matters” and “Corporate Governance—Board of Directors Composition and Independence” in the Proxy Statement.

ITEM 14. PRINCIPAL ACCOUNTANT FEES AND SERVICES

The information called for by this item is incorporated herein by reference to the information contained in the section captioned “Ratification of Selection of Independent Registered Public Accounting Firm” in the Proxy Statement.

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PART IV

ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

(a)(1).Financial Statements: See Part II, Item 8—Financial Statements and Supplementary Data.(a)(2).Financial Statement Schedules: All financial statement schedules have been omitted as they are either not required, not applicable, or the information is otherwise included.(a)(3).Exhibits:

ExhibitNumberDescriptionIncorporated By Reference to2.1Agreement and Plan of Merger, by and among Axos Clearing, LLC, Axos Clarity MergeCo., Inc., Cor Securities Holdings, Inc., the Seller Parties thereto and the Holder Representative, dated September 28, 2018Exhibit 2.1 to the Current Form 8-K filed on October 1, 2018.3.1Certificate of Incorporation of the Company, filed with the Delaware Secretary of State on July 6, 1999Exhibit 3.1 to the Registration Statement on Form S-1/A (File No.