Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axos Financial, Inc.AX · Entity 3860 | President, Consumer Bank | 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 | 61,404 |
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 3,381 · Balance 61,404 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 | 59,582 |
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 1,822 · Balance 59,582 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 | 17,275 |
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 3,381 · Balance 17,275 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 | 20,243 |
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 2,968 · Balance 20,243 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 | 2,869 |
Reported balance
Holding disclosure · report date 2026-09-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2,869 |
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 |
|---|---|---|---|---|---|---|
| September 06, 2021 Filed Sep 9, 2021 22:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 738 | $47.16 | $34,804.08 |
DisclosureSEC source: 0001299709-21-000249 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,560 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 22:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,136 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000249 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,298 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 01:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 3,176 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000212 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,189 Underlying: Common Stock · 3,176 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 01:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,124 | $48.48 | $54,491.52 |
DisclosureSEC source: 0001299709-21-000212 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,162 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 01:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 3,176 | $48.48 | $153,972.48 |
DisclosureSEC source: 0001299709-21-000212 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,286 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 20:58 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 3,504 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000170 · edgardoc.xml · derivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,365 Underlying: Common Stock · 3,504 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 20:19 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,851 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000132 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,861 Underlying: Common Stock · 1,851 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 20:19 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 640 | $47.85 | $30,624.00 |
DisclosureSEC source: 0001299709-21-000132 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,110 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 20:19 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,851 | $47.85 | $88,570.35 |
DisclosureSEC source: 0001299709-21-000132 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,750 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 00:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 3,491 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000086 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,712 Underlying: Common Stock · 3,491 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 00:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,207 | $47.00 | $56,729.00 |
DisclosureSEC source: 0001299709-21-000086 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,899 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 00:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 3,491 | $47.00 | $164,077.00 |
DisclosureSEC source: 0001299709-21-000086 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,106 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 17:35 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 5,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000072 · edgardoc.xml · derivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,203 Underlying: Common Stock · 5,334 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 00:28 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 3,118 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000049 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,869 Underlying: Common Stock · 3,118 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 00:28 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,078 | $52.06 | $56,120.68 |
DisclosureSEC source: 0001299709-21-000049 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,615 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 00:28 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 3,118 | $52.06 | $162,323.08 |
DisclosureSEC source: 0001299709-21-000049 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,693 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 18:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,438 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000274 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,987 Underlying: Common Stock · 2,438 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 18:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 843 | $36.61 | $30,862.23 |
DisclosureSEC source: 0001299709-20-000274 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,575 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 18:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,438 | $36.61 | $89,255.18 |
DisclosureSEC source: 0001299709-20-000274 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,418 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 |
| September 06, 2020 Filed Sep 9, 2020 20:29 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,136 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000214 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,425 Underlying: Common Stock · 2,136 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 20:29 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 738 | $24.91 | $18,383.58 |
DisclosureSEC source: 0001299709-20-000214 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,980 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 20:29 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,136 | $24.91 | $53,207.76 |
DisclosureSEC source: 0001299709-20-000214 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Head of Consumer Bank 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,718 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 | 9,528 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000190 · edgardoc.xml · derivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,561 Underlying: Common Stock · 9,528 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 00:19 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,851 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000118 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,033 Underlying: Common Stock · 1,851 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 00:19 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 640 | $22.57 | $14,444.80 |
DisclosureSEC source: 0001299709-20-000118 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,582 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 00:19 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,851 | $22.57 | $41,777.07 |
DisclosureSEC source: 0001299709-20-000118 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,222 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 20:22 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,943 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000101 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,884 Underlying: Common Stock · 2,943 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 20:22 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,017 | $20.16 | $20,502.72 |
DisclosureSEC source: 0001299709-20-000101 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,371 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 20:22 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,943 | $20.16 | $59,330.88 |
DisclosureSEC source: 0001299709-20-000101 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,388 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 17:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 3,491 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000068 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,827 Underlying: Common Stock · 3,491 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 17:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,175 | $17.21 | $20,221.75 |
DisclosureSEC source: 0001299709-20-000068 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,445 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 17:21 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 3,491 | $17.21 | $60,080.11 |
DisclosureSEC source: 0001299709-20-000068 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,620 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 23:10 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 9,354 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000043 · edgardoc.xml · derivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,318 Underlying: Common Stock · 9,354 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 21:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,389 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000006 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,964 Underlying: Common Stock · 2,389 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 21:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 974 | $30.45 | $29,658.30 |
DisclosureSEC source: 0001299709-20-000006 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,129 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 21:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,389 | $30.45 | $72,745.05 |
DisclosureSEC source: 0001299709-20-000006 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,103 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 22:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,437 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000207 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,353 Underlying: Common Stock · 2,437 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 22:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 842 | $30.35 | $25,554.70 |
DisclosureSEC source: 0001299709-19-000207 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,714 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 22:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,437 | $30.35 | $73,962.95 |
DisclosureSEC source: 0001299709-19-000207 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,556 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 00:48 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,408 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000170 · edgardoc.xml · derivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,790 Underlying: Common Stock · 6,408 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 |
| August 10, 2019 Filed Aug 12, 2019 23:25 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 3,672 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000094 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,382 Underlying: Common Stock · 3,672 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 | 1,269 | $28.09 | $35,646.21 |
DisclosureSEC source: 0001299709-19-000094 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,119 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 | 3,672 | $28.09 | $103,146.48 |
DisclosureSEC source: 0001299709-19-000094 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,388 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 17:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,851 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000065 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,054 Underlying: Common Stock · 1,851 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 17:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 640 | $27.72 | $17,740.80 |
DisclosureSEC source: 0001299709-19-000065 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,716 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 17:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,851 | $27.72 | $51,309.72 |
DisclosureSEC source: 0001299709-19-000065 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,356 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 | 2,943 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000044 · edgardoc.xml · derivative · entry 4 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,905 Underlying: Common Stock · 2,943 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 | 1,017 | $26.76 | $27,214.92 |
DisclosureSEC source: 0001299709-19-000044 · edgardoc.xml · nonDerivative · entry 2 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,505 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 | 2,943 | $26.76 | $78,754.68 |
DisclosureSEC source: 0001299709-19-000044 · edgardoc.xml · nonDerivative · entry 1 Swanson Brian D · CIK 0001777936 · EVP, Chief Lending Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,522 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.