Axos Financial, Inc 8-K, filed Oct 22, 2021
Axos Financial, Inc. (AX)
8-K
2021-10-22
For: 2021-10-21
View Original
Added on
April 10, 2026
About this 8-K
Axos Financial, Inc filed this 8-K on October 22, 2021, reporting on events of October 21, 2021.
Items reported
- Item 5.07: Shareholder vote results
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): October 21, 2021
(Exact name of registrant as specified in its charter)
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification Number) | ||||||
(Address of principal executive offices) (zip code)
Registrant’s telephone number, including area code: (858 ) 649-2218
| Securities registered pursuant to Section 12(b) of the Act: | ||||||||
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||||||
Not Applicable
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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Item 5.07 Submission of Matters to a Vote of Security Holders.
Axos Financial, Inc. (the “Company”) held its annual meeting of stockholders on October 21, 2021 (the "Annual Meeting"). As of August 27, 2021, the record date for the Annual Meeting, 59,355,332 shares of the Company's common stock were eligible to vote. There were a total of 51,438,788 shares present at the Annual Meeting (86.66% of the eligible shares to vote), constituting a quorum.
Set forth below are the final vote tabulations for each of the matters submitted to a vote of the stockholders, including the votes for and against, and any abstentions or broker non-votes.
The first proposal was the election of the following Class II directors with terms expiring in 2024: Gregory Garrabrants, Paul J. Grinberg, Uzair Dada.
| For | Withheld | Broker Non-Votes | |||||||||
| Gregory Garrabrants | 45,746,376 | 661,014 | 5,031,398 | ||||||||
| Paul J. Grinberg | 30,170,249 | 16,237,141 | 5,031,398 | ||||||||
| Uzair Dada | 45,961,505 | 445,885 | 5,031,398 | ||||||||
The second proposal was to approve the Amended and Restated 2014 Stock Incentive Plan.
| For | Against | Abstain | Broker Non-Votes | ||||||||
| 33,212,110 | 12,736,928 | 458,352 | 5,031,398 | ||||||||
The third proposal was to approve, in a non-binding and advisory vote, the compensation of the Company's Named Executive Officers as disclosed in the Company's proxy statement.
| For | Against | Abstain | Broker Non-Votes | ||||||||
| 34,621,047 | 11,705,299 | 81,044 | 5,031,398 | ||||||||
The fourth proposal was the ratification of the appointment of BDO USA, LLP as the Company's independent public accounting firm for fiscal year 2022.
| For | Against | Abstain | Broker Non-Votes | ||||||||
| 50,980,091 | 379,122 | 79,575 | 0 | ||||||||
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Axos Financial, Inc. | ||||||||||||||
| Date: | October 22, 2021 | By: | /s/ Derrick K. Walsh | |||||||||||
| Derrick K. Walsh | ||||||||||||||
| EVP and Chief Financial Officer | ||||||||||||||