Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axos Financial, Inc.AX · Entity 3860 | SVP, Head of Axos Securities | September 23, 2023 | September 26, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Axos Financial, Inc.
Report date September 23, 2023 · Filed September 26, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,865 |
Reported balance
After 2023-09-23 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-09-23 · Exercise / conversion · Acquired 792 · Balance 14,865 F1: Represents shares of Common Stock issued on September 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 Amended and Restated 2014 Stock Incentive Plan. |
| Common StockSEC Table I · non-derivative | Direct | 14,592 |
Reported balance
After 2023-09-23 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2023-09-23 · Disposition to issuer · Disposed 273 · Balance 14,592 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 8,653 |
Reported balance
After 2023-09-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-09-23 · Exercise / conversion · Disposed 792 · Balance 8,653 F3: 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. F4: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5: The RSUs vest as to one-third of the shares on each anniversary date of grant. |
| Common StockSEC Table I · non-derivative | Indirect401(k) Plan | 1,797 |
Reported balance
Holding disclosure · report date 2023-09-23 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,797 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock issued on September 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 Amended and Restated 2014 Stock Incentive Plan.
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.
F3: 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.
F4: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
F5: The RSUs vest as to one-third of the shares on each anniversary date of grant.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 23, 2023 Filed Sep 26, 2023 20:58 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 792 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000276 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,653 Underlying: Common Stock · 792 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: 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. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| September 23, 2023 Filed Sep 26, 2023 20:58 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 273 | $38.28 | $10,450.44 |
DisclosureSEC source: 0001299709-23-000276 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,592 F2 · shares: 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. Read SEC document |
| September 23, 2023 Filed Sep 26, 2023 20:58 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 792 | $38.28 | $30,317.76 |
DisclosureSEC source: 0001299709-23-000276 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,865 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on September 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 Amended and Restated 2014 Stock Incentive Plan. Read SEC document |
| September 15, 2023 Filed Sep 18, 2023 20:02 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 2,241 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000250 · edgardoc.xml · derivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,445 Underlying: Common Stock · 2,241 shares Expires not disclosed F1 · security: Grant to the reporting person on September 15, 2023 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 17:11 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000229 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,204 Underlying: Common Stock · 1,144 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F6 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F6 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 17:11 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 395 | $43.09 | $17,020.55 |
DisclosureSEC source: 0001299709-23-000229 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,073 F2 · security: Represents shares of Common Stock issued on August 31, 2023, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. F3 · shares: 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. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 17:11 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,144 | $43.09 | $49,294.96 |
DisclosureSEC source: 0001299709-23-000229 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,468 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 31, 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. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 20:50 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 577 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000193 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,348 Underlying: Common Stock · 577 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: 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. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 20:50 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 199 | $41.56 | $8,270.44 |
DisclosureSEC source: 0001299709-23-000193 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,324 F2 · shares: 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. Read SEC document |
| August 25, 2023 Filed Aug 28, 2023 20:50 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 577 | $41.56 | $23,980.12 |
DisclosureSEC source: 0001299709-23-000193 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,523 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 25, 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. Read SEC document |
| March 23, 2023 Filed Mar 24, 2023 19:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 609 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000108 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,925 Underlying: Common Stock · 609 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| March 23, 2023 Filed Mar 24, 2023 19:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 210 | $36.37 | $7,637.70 |
DisclosureSEC source: 0001299709-23-000108 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,946 F3 · shares: 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. Read SEC document |
| March 23, 2023 Filed Mar 24, 2023 19:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 609 | $36.37 | $22,149.33 |
DisclosureSEC source: 0001299709-23-000108 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,156 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| March 20, 2023 Filed Mar 23, 2023 21:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 512 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000092 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,534 Underlying: Common Stock · 512 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| March 20, 2023 Filed Mar 23, 2023 21:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 208 | $37.58 | $7,816.64 |
DisclosureSEC source: 0001299709-23-000092 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,547 F3 · shares: 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. Read SEC document |
| March 20, 2023 Filed Mar 23, 2023 21:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 512 | $37.58 | $19,240.96 |
DisclosureSEC source: 0001299709-23-000092 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,755 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on March 20, 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| March 15, 2023 Filed Mar 17, 2023 22:25 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 2,518 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000063 · edgardoc.xml · derivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,046 Underlying: Common Stock · 2,518 shares Expires not disclosed F1 · security: Grant to the reporting person on March 15, 2023 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| March 12, 2023 Filed Mar 14, 2023 21:07 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,567 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000043 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,528 Underlying: Common Stock · 1,567 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| March 12, 2023 Filed Mar 14, 2023 21:07 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 639 | $37.66 | $24,064.74 |
DisclosureSEC source: 0001299709-23-000043 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,243 F3 · shares: 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. Read SEC document |
| March 12, 2023 Filed Mar 14, 2023 21:07 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,567 | $37.66 | $59,013.22 |
DisclosureSEC source: 0001299709-23-000043 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,882 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on March 12, 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| November 15, 2022 Filed Nov 18, 2022 00:35 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 2,000 | $42.54 | $85,080.00 |
DisclosureSEC source: 0001299709-22-000286 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,315 F1 · price: These transactions were executed in multiple trades, at prices ranging from $42.53 to $42.59. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold and the prices at which each trade was effected. Read SEC document |
| September 23, 2022 Filed Sep 27, 2022 23:42 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 2,378 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000268 · edgardoc.xml · derivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,095 Underlying: Common Stock · 2,378 shares Expires not disclosed F1 · security: Grant to the reporting person on September 23, 2022 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 31, 2022 Filed Sep 3, 2022 00:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,144 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000222 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,717 Underlying: Common Stock · 1,144 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 31, 2022 Filed Sep 3, 2022 00:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 395 | $41.78 | $16,503.10 |
DisclosureSEC source: 0001299709-22-000222 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,315 F3 · shares: 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. Read SEC document |
| August 31, 2022 Filed Sep 3, 2022 00:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,144 | $41.78 | $47,796.32 |
DisclosureSEC source: 0001299709-22-000222 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,710 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 31, 2022, 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| August 28, 2022 Filed Sep 1, 2022 00:18 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,200 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000191 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,861 Underlying: Common Stock · 1,200 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F4 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F4 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 28, 2022 Filed Sep 1, 2022 00:18 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 414 | $43.49 | $18,004.86 |
DisclosureSEC source: 0001299709-22-000191 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,566 F1 · security: Represents shares of Common Stock issued on August 28, 2022, 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. Read SEC document |
| August 28, 2022 Filed Sep 1, 2022 00:18 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,200 | $43.49 | $52,188.00 |
DisclosureSEC source: 0001299709-22-000191 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,980 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 28, 2022, 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| August 25, 2022 Filed Aug 30, 2022 00:18 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 577 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000180 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,061 Underlying: Common Stock · 577 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 25, 2022 Filed Aug 30, 2022 00:18 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 199 | $44.65 | $8,885.35 |
DisclosureSEC source: 0001299709-22-000180 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,780 F1 · security: Represents shares of Common Stock issued on August 25, 2022, 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. F3 · shares: 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. Read SEC document |
| August 25, 2022 Filed Aug 30, 2022 00:18 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 577 | $44.65 | $25,763.05 |
DisclosureSEC source: 0001299709-22-000180 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,979 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 25, 2022, 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 20:36 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 1,827 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000092 · edgardoc.xml · derivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,638 Underlying: Common Stock · 1,827 shares Expires not disclosed F1 · security: Grant to the reporting person on March 23, 2022 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| March 19, 2022 Filed Mar 22, 2022 22:50 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 511 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000077 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,811 Underlying: Common Stock · 511 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| March 19, 2022 Filed Mar 22, 2022 22:50 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 172 | $49.62 | $8,534.64 |
DisclosureSEC source: 0001299709-22-000077 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,402 F1 · security: Represents shares of Common Stock issued on March 19, 2022, 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. F3 · shares: 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. Read SEC document |
| March 19, 2022 Filed Mar 22, 2022 22:50 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 511 | $49.62 | $25,355.82 |
DisclosureSEC source: 0001299709-22-000077 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,574 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on March 19, 2022, 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| March 12, 2022 Filed Mar 15, 2022 21:52 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,567 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000057 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,322 Underlying: Common Stock · 1,567 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| March 12, 2022 Filed Mar 15, 2022 21:52 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 642 | $48.55 | $31,169.10 |
DisclosureSEC source: 0001299709-22-000057 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,063 F3 · shares: 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. Read SEC document |
| March 12, 2022 Filed Mar 15, 2022 21:52 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,567 | $48.55 | $76,077.85 |
DisclosureSEC source: 0001299709-22-000057 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,705 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on March 12, 2022, 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| March 08, 2022 Filed Mar 10, 2022 21:44 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 844 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000046 · edgardoc.xml · derivative · entry 4 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,889 Underlying: Common Stock · 844 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: 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. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| March 08, 2022 Filed Mar 10, 2022 21:44 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 345 | $46.74 | $16,125.30 |
DisclosureSEC source: 0001299709-22-000046 · edgardoc.xml · nonDerivative · entry 2 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,138 F3 · shares: 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. Read SEC document |
| March 08, 2022 Filed Mar 10, 2022 21:44 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 844 | $46.74 | $39,448.56 |
DisclosureSEC source: 0001299709-22-000046 · edgardoc.xml · nonDerivative · entry 1 PITTERS RON · CIK 0001891973 · SVP, Head of Axos Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,483 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on March 8, 2022, 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 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.