Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axos Financial, Inc.AX · Entity 3860 | Director | August 05, 2026 | August 07, 2026 |
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 August 05, 2026 · Filed August 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,146 |
Reported balance
After 2026-08-05 transaction · row 1
1 source rowRow 1 · 2026-08-05 · Sale · Disposed 500 · Balance 7,146 |
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 |
|---|---|---|---|---|---|---|
| August 05, 2026 Filed Aug 7, 2026 14:42 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 500 | $105.30 | $52,650.00 |
DisclosureSEC source: 0001316254-26-000005 · edgardoc.xml · nonDerivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,146 Read SEC document |
| May 08, 2026 Filed May 12, 2026 19:12 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 500 | $87.77 | $43,885.00 |
DisclosureSEC source: 0001316254-26-000003 · edgardoc.xml · nonDerivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,646 Read SEC document |
| November 14, 2025 Filed Nov 19, 2025 00:26 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 3,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001316254-25-000003 · edgardoc.xml · derivative · entry 4 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,615 Underlying: Common Stock · 3,615 shares Expires not disclosed F6 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F7 · derivative.exercise_date: The RSU's fully vest on January 3, 2027. F7 · derivative.expiration_date: The RSU's fully vest on January 3, 2027. Read SEC document |
| November 14, 2025 Filed Nov 19, 2025 00:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001316254-25-000003 · edgardoc.xml · derivative · entry 3 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,289 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. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. 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 fully vest on the one year anniversary of the grant date. F5 · derivative.expiration_date: The RSUs fully vest on the one year anniversary of the grant date. Read SEC document |
| November 14, 2025 Filed Nov 19, 2025 00:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 2,144 | $79.12 | $169,633.28 |
DisclosureSEC source: 0001316254-25-000003 · edgardoc.xml · nonDerivative · entry 2 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,146 F2 · 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 |
| November 14, 2025 Filed Nov 19, 2025 00:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 4,289 | $79.12 | $339,345.68 |
DisclosureSEC source: 0001316254-25-000003 · edgardoc.xml · nonDerivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,290 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 November 14, 2024, 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. Read SEC document |
| November 14, 2024 Filed Nov 16, 2024 00:17 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-24-000252 · edgardoc.xml · derivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,289 Underlying: Common Stock · 4,289 shares Expires not disclosed F1 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. The number of RSUs granted reflected a change in the compensation applicable to the nonemployee members of the Board of Directors to: (a) change the annual grant date from August of each year to the date of the annual meeting of the stockholders of Axos Financial, Inc.; (b) be based on certain approved dollar amounts (which for certain directors include premiums for service as chairman or vice chairman of the Board of Directors or its committees), divided by the closing stock price on the grant date; and (c) include additional amounts for this year?s grants in light of the delayed grant date for the current year. 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 fully vest on the anniversary date of grant. F3 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| November 14, 2024 Filed Nov 16, 2024 00:16 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-24-000251 · edgardoc.xml · derivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,289 Underlying: Common Stock · 4,289 shares Expires not disclosed F1 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. The number of RSUs granted reflected a change in the compensation applicable to the nonemployee members of the Board of Directors to: (a) change the annual grant date from August of each year to the date of the annual meeting of the stockholders of Axos Financial, Inc.; (b) be based on certain approved dollar amounts (which for certain directors include premiums for service as chairman or vice chairman of the Board of Directors or its committees), divided by the closing stock price on the grant date; and (c) include additional amounts for this year?s grants in light of the delayed grant date for the current year. 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 fully vest on the anniversary date of grant. F3 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| November 14, 2024 Filed Aug 1, 2025 20:50 UTC Amendment | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-25-000114 · edgardoc.xml · derivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,289 Underlying: Common Stock · 0 shares Expires not disclosed F1 · security: This Form 4/A is being filed to clarify that on November 15, 2024, a duplicate Form 4 was inadvertently submitted for the reporting person reporting transactions previously reported on a Form 4 submitted on the same day. There are no changes to the reported transactions or to the shares beneficially owned by the reporting person included in the Form 4 submitted on November 15, 2024. F1 · derivative.exercise_price: This Form 4/A is being filed to clarify that on November 15, 2024, a duplicate Form 4 was inadvertently submitted for the reporting person reporting transactions previously reported on a Form 4 submitted on the same day. There are no changes to the reported transactions or to the shares beneficially owned by the reporting person included in the Form 4 submitted on November 15, 2024. F1 · derivative.exercise_date: This Form 4/A is being filed to clarify that on November 15, 2024, a duplicate Form 4 was inadvertently submitted for the reporting person reporting transactions previously reported on a Form 4 submitted on the same day. There are no changes to the reported transactions or to the shares beneficially owned by the reporting person included in the Form 4 submitted on November 15, 2024. F1 · derivative.expiration_date: This Form 4/A is being filed to clarify that on November 15, 2024, a duplicate Form 4 was inadvertently submitted for the reporting person reporting transactions previously reported on a Form 4 submitted on the same day. There are no changes to the reported transactions or to the shares beneficially owned by the reporting person included in the Form 4 submitted on November 15, 2024. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-24-000157 · edgardoc.xml · derivative · entry 3 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 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. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. 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 fully vest on the anniversary date of grant. F5 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 2,999 | $69.43 | $208,220.57 |
DisclosureSEC source: 0001299709-24-000157 · edgardoc.xml · nonDerivative · entry 2 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,001 F2 · 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, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 6,000 | $69.43 | $416,580.00 |
DisclosureSEC source: 0001299709-24-000157 · edgardoc.xml · nonDerivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,000 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, 2024, 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. Read SEC document |
| September 15, 2023 Filed Sep 18, 2023 20:03 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000251 · edgardoc.xml · derivative · entry 3 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 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. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. 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 fully vest on the anniversary date of grant. F5 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| September 15, 2023 Filed Sep 18, 2023 20:03 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 3,000 | $42.40 | $127,200.00 |
DisclosureSEC source: 0001299709-23-000251 · edgardoc.xml · nonDerivative · entry 2 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,000 F2 · 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 |
| September 15, 2023 Filed Sep 18, 2023 20:03 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 6,000 | $42.40 | $254,400.00 |
DisclosureSEC source: 0001299709-23-000251 · edgardoc.xml · nonDerivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 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 15, 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. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 17:11 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000231 · edgardoc.xml · derivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 6,000 shares Expires not disclosed F1 · security: Grant to the reporting person on August 31, 2023 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. 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 fully vest on the anniversary date of grant. F3 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| September 15, 2022 Filed Sep 19, 2022 23:44 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000250 · edgardoc.xml · derivative · entry 1 Santi Roque A · CIK 0001316254 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires not disclosed F1 · security: Grant to the reporting person on September 15, 2022 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. 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 fully vest on the anniversary date of grant. F3 · derivative.expiration_date: The RSUs fully vest on the 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.