Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axos Financial, Inc.AX · Entity 3860 | EVP, Chief Credit Officer | September 15, 2026 | September 16, 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 September 15, 2026 · Filed September 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 20,100 |
Reported balance
After 2026-09-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-15 · Exercise / conversion · Acquired 3,905 · Balance 20,100 F1: Represents shares of Common Stock issued on September 15, 2026, 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 | 17,998 |
Reported balance
After 2026-09-15 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-09-15 · Disposition to issuer · Disposed 2,102 · Balance 17,998 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 | 9,689 |
Reported balance
After 2026-09-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-09-15 · Exercise / conversion · Disposed 3,905 · Balance 9,689 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. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 12,495 |
Reported balance
After 2026-09-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2026-09-15 · Grant · Acquired 2,806 · Balance 12,495 F6: Grant to the reporting person on September 15, 2026 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. 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 | 2,934 |
Reported balance
Holding disclosure · report date 2026-09-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2,934 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock issued on September 15, 2026, 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.
F6: Grant to the reporting person on September 15, 2026 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan.
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 |
|---|---|---|---|---|---|---|
| March 12, 2022 Filed Mar 15, 2022 21:53 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 1,655 | $48.55 | $80,350.25 |
DisclosureSEC source: 0001299709-22-000059 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,437 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 21:53 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,938 | $48.55 | $142,639.90 |
DisclosureSEC source: 0001299709-22-000059 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,092 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 02, 2022 Filed Mar 4, 2022 21:50 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 1,421 | $54.18 | $76,989.78 |
DisclosureSEC source: 0001299709-22-000040 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,154 F1 · price: These transactions were executed in multiple trades, at prices ranging from $54.16 to $54.22. 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 |
| November 16, 2021 Filed Nov 18, 2021 01:04 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 2,000 | $59.88 | $119,760.00 |
DisclosureSEC source: 0001299709-21-000288 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,575 F1 · price: These transactions were executed in multiple trades, at prices ranging from $59.66 to $60.09. 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 06, 2021 Filed Sep 9, 2021 22:23 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000246 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,907 Underlying: Common Stock · 2,222 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 |
| September 06, 2021 Filed Sep 9, 2021 22:23 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 1,147 | $47.16 | $54,092.52 |
DisclosureSEC source: 0001299709-21-000246 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,575 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 |
| September 06, 2021 Filed Sep 9, 2021 22:23 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000246 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,722 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 6, 2021, 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 31, 2021 Filed Sep 2, 2021 01:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,287 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000207 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,129 Underlying: Common Stock · 2,287 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 2, 2021 01:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,181 | $48.48 | $57,254.88 |
DisclosureSEC source: 0001299709-21-000207 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,500 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 2, 2021 01:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,287 | $48.48 | $110,873.76 |
DisclosureSEC source: 0001299709-21-000207 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,681 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 |
| August 25, 2021 Filed Aug 27, 2021 20:48 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 4,075 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000165 · edgardoc.xml · derivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,416 Underlying: Common Stock · 4,075 shares Expires not disclosed F1 · security: Grant to the reporting person on August 25, 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 |
| July 30, 2021 Filed Aug 3, 2021 20:16 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,378 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000130 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,341 Underlying: Common Stock · 1,378 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, 2021 Filed Aug 3, 2021 20:16 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 711 | $47.85 | $34,021.35 |
DisclosureSEC source: 0001299709-21-000130 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,394 F1 · security: Represents shares of Common Stock issued on July 30, 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 |
| July 30, 2021 Filed Aug 3, 2021 20:16 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,378 | $47.85 | $65,937.30 |
DisclosureSEC source: 0001299709-21-000130 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,105 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, 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 25, 2021 Filed Mar 27, 2021 00:05 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,704 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000080 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,719 Underlying: Common Stock · 2,704 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 25, 2021 Filed Mar 27, 2021 00:05 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,396 | $47.00 | $65,612.00 |
DisclosureSEC source: 0001299709-21-000080 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,727 F1 · security: Represents shares of Common Stock issued on March 25, 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 25, 2021 Filed Mar 27, 2021 00:05 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,704 | $47.00 | $127,088.00 |
DisclosureSEC source: 0001299709-21-000080 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,123 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 25, 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 16:53 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 3,454 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000064 · edgardoc.xml · derivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,423 Underlying: Common Stock · 3,454 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 16, 2021 00:44 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,938 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000055 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,969 Underlying: Common Stock · 2,938 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 16, 2021 00:44 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,517 | $52.06 | $78,975.02 |
DisclosureSEC source: 0001299709-21-000055 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,419 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 16, 2021 00:44 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,938 | $52.06 | $152,952.28 |
DisclosureSEC source: 0001299709-21-000055 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,936 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 |
| December 19, 2020 Filed Dec 22, 2020 18:08 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,683 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000269 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,907 Underlying: Common Stock · 1,683 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, 2020 Filed Dec 22, 2020 18:08 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 869 | $36.61 | $31,814.09 |
DisclosureSEC source: 0001299709-20-000269 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,998 F1 · security: Represents shares of Common Stock issued on December 19, 2020, 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, 2020 Filed Dec 22, 2020 18:08 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,683 | $36.61 | $61,614.63 |
DisclosureSEC source: 0001299709-20-000269 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,867 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, 2020, 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 |
| November 10, 2020 Filed Nov 20, 2020 23:10 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 4,500 | $32.93 | $148,185.00 |
DisclosureSEC source: 0001299709-20-000263 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,184 F1 · price: This transaction was executed in multiple trades, at prices ranging from $41.00 to $41.37. 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 06, 2020 Filed Sep 9, 2020 20:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,222 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000211 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,590 Underlying: Common Stock · 2,222 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 |
| September 06, 2020 Filed Sep 9, 2020 20:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,147 | $24.91 | $28,571.77 |
DisclosureSEC source: 0001299709-20-000211 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,684 F1 · security: Represents shares of Common Stock issued on September 06, 2020, 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 |
| September 06, 2020 Filed Sep 9, 2020 20:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,222 | $24.91 | $55,350.02 |
DisclosureSEC source: 0001299709-20-000211 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,831 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 06, 2020, 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 20:50 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,861 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000188 · edgardoc.xml · derivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,812 Underlying: Common Stock · 6,861 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 |
| July 30, 2020 Filed Aug 4, 2020 00:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,378 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000120 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,951 Underlying: Common Stock · 1,378 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, 2020 Filed Aug 4, 2020 00:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 725 | $22.57 | $16,363.25 |
DisclosureSEC source: 0001299709-20-000120 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,609 F1 · security: Represents shares of Common Stock issued on July 30, 2020, 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, 2020 Filed Aug 4, 2020 00:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,378 | $22.57 | $31,101.46 |
DisclosureSEC source: 0001299709-20-000120 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,334 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, 2020, 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 12, 2020 Filed Jul 14, 2020 20:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,962 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000100 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,329 Underlying: Common Stock · 1,962 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 12, 2020 Filed Jul 14, 2020 20:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 678 | $20.16 | $13,668.48 |
DisclosureSEC source: 0001299709-20-000100 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,956 F1 · security: Represents shares of Common Stock issued on July 12, 2020, 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 12, 2020 Filed Jul 14, 2020 20:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,962 | $20.16 | $39,553.92 |
DisclosureSEC source: 0001299709-20-000100 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,634 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 12, 2020, 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 25, 2020 Filed Mar 27, 2020 17:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,704 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000065 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,291 Underlying: Common Stock · 2,704 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 25, 2020 Filed Mar 27, 2020 17:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 968 | $17.21 | $16,659.28 |
DisclosureSEC source: 0001299709-20-000065 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,672 F1 · security: Represents shares of Common Stock issued on March 25, 2020 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 25, 2020 Filed Mar 27, 2020 17:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,704 | $17.21 | $46,535.84 |
DisclosureSEC source: 0001299709-20-000065 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,640 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 25, 2020 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 12, 2020 Filed Mar 16, 2020 23:11 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 8,814 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000045 · edgardoc.xml · derivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,995 Underlying: Common Stock · 8,814 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 |
| January 17, 2020 Filed Jan 21, 2020 21:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,673 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000007 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,181 Underlying: Common Stock · 1,673 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 |
| January 17, 2020 Filed Jan 21, 2020 21:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 682 | $30.45 | $20,766.90 |
DisclosureSEC source: 0001299709-20-000007 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,936 F1 · security: Represents shares of Common Stock issued on January 17, 2020 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 |
| January 17, 2020 Filed Jan 21, 2020 21:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,673 | $30.45 | $50,942.85 |
DisclosureSEC source: 0001299709-20-000007 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,618 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 January 17, 2020 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 |
| December 19, 2019 Filed Dec 20, 2019 22:36 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,683 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000205 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,854 Underlying: Common Stock · 1,683 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 22:36 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 581 | $30.35 | $17,633.35 |
DisclosureSEC source: 0001299709-19-000205 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,945 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 22:36 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,683 | $30.35 | $51,079.05 |
DisclosureSEC source: 0001299709-19-000205 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,526 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 10, 2019 00:46 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,667 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000167 · edgardoc.xml · derivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,537 Underlying: Common Stock · 6,667 shares Expires not disclosed F1 · 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. 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 |
| August 10, 2019 Filed Aug 12, 2019 23:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,319 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000093 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,870 Underlying: Common Stock · 2,319 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 10, 2019 Filed Aug 12, 2019 23:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 801 | $28.09 | $22,500.09 |
DisclosureSEC source: 0001299709-19-000093 · edgardoc.xml · nonDerivative · entry 2 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,843 F1 · security: Represents shares of Common Stock issued on August 10, 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 |
| August 10, 2019 Filed Aug 12, 2019 23:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,319 | $28.09 | $65,140.71 |
DisclosureSEC source: 0001299709-19-000093 · edgardoc.xml · nonDerivative · entry 1 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,644 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 10, 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 30, 2019 Filed Aug 1, 2019 17:38 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,377 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000062 · edgardoc.xml · derivative · entry 4 Constantine Thomas M · CIK 0001778031 · EVP and Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,189 Underlying: Common Stock · 1,377 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.