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 |
|---|---|---|---|---|---|---|
| July 30, 2019 Filed Aug 1, 2019 17:38 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 476 | $27.72 | $13,194.72 |
DisclosureSEC source: 0001299709-19-000062 · 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: 6,325 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 17:38 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,377 | $27.72 | $38,170.44 |
DisclosureSEC source: 0001299709-19-000062 · 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: 6,801 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 12, 2019 Filed Jul 15, 2019 19:35 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,962 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000045 · 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: 21,566 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, 2019 Filed Jul 15, 2019 19:35 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 678 | $26.76 | $18,143.28 |
DisclosureSEC source: 0001299709-19-000045 · 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: 5,424 F1 · security: Represents shares of Common Stock issued on July 12, 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 12, 2019 Filed Jul 15, 2019 19:35 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,962 | $26.76 | $52,503.12 |
DisclosureSEC source: 0001299709-19-000045 · 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: 6,102 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, 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.