Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axos Financial, Inc.AX · Entity 3860 | President and CFO | September 24, 2021 | September 27, 2021 |
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 24, 2021 · Filed September 27, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 3,560 |
Reported balance
After 2021-09-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-09-24 · Grant · Acquired 1,072 · Balance 3,560 F1: Grant to the reporting person on September 24, 2021 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3: The RSUs vest as to one-third of the shares on each anniversary date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant to the reporting person on September 24, 2021 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan.
F2: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
F3: 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 24, 2021 Filed Sep 27, 2021 16:30 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 1,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000252 · edgardoc.xml · derivative · entry 1 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,560 Underlying: Common Stock · 1,072 shares Expires not disclosed F1 · security: Grant to the reporting person on September 24, 2021 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, 2021 Filed Sep 1, 2021 21:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 403 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000211 · edgardoc.xml · derivative · entry 3 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,488 Underlying: Common Stock · 403 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. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs are accompanied by dividend equivalent rights. F3 · derivative.exercise_price: The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs are accompanied by dividend equivalent rights. F4 · derivative.exercise_date: The RSUs vest over three years, one-third on each anniversary date of grant. F4 · derivative.expiration_date: The RSUs vest over three years, one-third on each anniversary date of grant. Read SEC document |
| August 31, 2021 Filed Sep 1, 2021 21:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 118 | $48.48 | $5,720.64 |
DisclosureSEC source: 0001299709-21-000211 · edgardoc.xml · nonDerivative · entry 2 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 595 F1 · security: Represents shares of Common Stock issued on August 31, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. 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 31, 2021 Filed Sep 1, 2021 21:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 403 | $48.48 | $19,537.44 |
DisclosureSEC source: 0001299709-21-000211 · edgardoc.xml · nonDerivative · entry 1 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 713 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, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 13:29 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 798 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000070 · edgardoc.xml · derivative · entry 1 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,891 Underlying: Common Stock · 798 shares Expires not disclosed F1 · security: Grant to the reporting person on March 19, 2021 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 over three years, one-third on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest over three years, one-third on each anniversary date of grant. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 21:02 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 440 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000060 · edgardoc.xml · derivative · entry 3 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,093 Underlying: Common Stock · 440 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. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs are accompanied by dividend equivalent rights. F3 · derivative.exercise_price: The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. The RSUs are accompanied by dividend equivalent rights. F4 · derivative.exercise_date: The RSUs vest over three years, one-third on each anniversary date of grant. F4 · derivative.expiration_date: The RSUs vest over three years, one-third on each anniversary date of grant. Read SEC document |
| March 12, 2021 Filed Mar 15, 2021 21:02 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 130 | $52.06 | $6,767.80 |
DisclosureSEC source: 0001299709-21-000060 · edgardoc.xml · nonDerivative · entry 2 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 310 F1 · security: Represents shares of Common Stock issued on March 12, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. 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 |
| March 12, 2021 Filed Mar 15, 2021 21:02 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 440 | $52.06 | $22,906.40 |
DisclosureSEC source: 0001299709-21-000060 · edgardoc.xml · nonDerivative · entry 1 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 440 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, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. Read SEC document |
| August 31, 2020 Filed Sep 2, 2020 16:51 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 1,211 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000192 · edgardoc.xml · derivative · entry 1 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,533 Underlying: Common Stock · 1,211 shares Expires not disclosed F1 · security: Grant to the reporting person on August 31, 2020 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 over three years, one-third on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest over three years, one-third on each anniversary date of grant. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 19:09 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 1,322 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000041 · edgardoc.xml · derivative · entry 1 Sime Jeffrey · CIK 0001777919 · President and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,322 Underlying: Common Stock · 1,322 shares Expires not disclosed F1 · security: Grant to the reporting person on March 12, 2020 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 over three years, one-third on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest over three years, one-third on each anniversary date of grant. 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.