Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axos Financial, Inc.AX · Entity 3860 | EVP, Specialty RE, C&I Lending | December 19, 2019 | December 20, 2019 |
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 December 19, 2019 · Filed December 20, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,013 |
Last balance in matching sequence
After 2019-12-19 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-12-19 · Exercise / conversion · Acquired 813 · Balance 4,294 F1: Represents shares of Common Stock issued on December 19, 2019 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. Row 2 · 2019-12-19 · Tax withholding · Disposed 281 · Balance 4,013 F1: Represents shares of Common Stock issued on December 19, 2019 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: 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 · Conversion / exercise price $0.00 | Direct | 13,955 |
Reported balance
After 2019-12-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-12-19 · Exercise / conversion · Disposed 813 · Balance 13,955 F3: 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: The RSUs vest over three years, one-third on each anniversary date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock issued on December 19, 2019 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: 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. 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: The RSUs vest over three years, one-third 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 |
|---|---|---|---|---|---|---|
| December 19, 2019 Filed Dec 20, 2019 17:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 813 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000206 · edgardoc.xml · derivative · entry 3 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,955 Underlying: Common Stock · 813 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 |
| December 19, 2019 Filed Dec 20, 2019 17:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 281 | $30.35 | $8,528.35 |
DisclosureSEC source: 0001299709-19-000206 · edgardoc.xml · nonDerivative · entry 2 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,013 F1 · security: Represents shares of Common Stock issued on December 19, 2019 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 |
| December 19, 2019 Filed Dec 20, 2019 17:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 813 | $30.35 | $24,674.55 |
DisclosureSEC source: 0001299709-19-000206 · edgardoc.xml · nonDerivative · entry 1 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,294 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 December 19, 2019 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 |
| September 06, 2019 Filed Sep 9, 2019 20:47 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 4,118 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000168 · edgardoc.xml · derivative · entry 1 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,768 Underlying: Common Stock · 4,118 shares Expires not disclosed F1 · security: Grant to the reporting person on September 06, 2019 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 |
| July 30, 2019 Filed Aug 1, 2019 13:39 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 689 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000063 · edgardoc.xml · derivative · entry 3 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,650 Underlying: Common Stock · 689 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 |
| July 30, 2019 Filed Aug 1, 2019 13:39 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 238 | $27.72 | $6,597.36 |
DisclosureSEC source: 0001299709-19-000063 · edgardoc.xml · nonDerivative · entry 2 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,481 F1 · security: Represents shares of Common Stock issued on July 30, 2019 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 |
| July 30, 2019 Filed Aug 1, 2019 13:39 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 689 | $27.72 | $19,099.08 |
DisclosureSEC source: 0001299709-19-000063 · edgardoc.xml · nonDerivative · entry 1 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,719 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 July 30, 2019 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 |
| July 17, 2019 Filed Jul 18, 2019 19:51 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 4,200 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000048 · edgardoc.xml · derivative · entry 3 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,339 Underlying: Common Stock · 4,200 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. 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 |
| July 17, 2019 Filed Jul 18, 2019 19:51 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,452 | $26.42 | $38,361.84 |
DisclosureSEC source: 0001299709-19-000048 · edgardoc.xml · nonDerivative · entry 2 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,030 F1 · security: Represents shares of Common Stock issued on July 17, 2019 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 |
| July 17, 2019 Filed Jul 18, 2019 19:51 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 4,200 | $26.42 | $110,964.00 |
DisclosureSEC source: 0001299709-19-000048 · edgardoc.xml · nonDerivative · entry 1 Fraser James A · CIK 0001782944 · EVP, Specialty RE, C&I Lending 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,482 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 July 17, 2019 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.