Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axos Financial, Inc.AX · Entity 3860 | EVP, Chief Financial 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 | 44,280 |
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 4,127 · Balance 44,280 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 | 42,058 |
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 2,222 · Balance 42,058 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 | 10,708 |
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 4,127 · Balance 10,708 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 | 13,784 |
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 3,076 · Balance 13,784 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 23, 2021 Filed Sep 27, 2021 20:41 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000254 · edgardoc.xml · derivative · entry 1 Walsh Derrick · CIK 0001636371 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,654 Underlying: Common Stock · 10,000 shares Expires not disclosed F1 · security: Grant to the reporting person on September 23, 2021 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 stock incentive plan in connection with the reporting person's employment contract as Chief Financial Officer. 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 as to one-third of the shares on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 31, 2021 Filed Sep 2, 2021 01:28 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,287 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000214 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,654 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 01:28 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,112 | $48.48 | $53,909.76 |
DisclosureSEC source: 0001299709-21-000214 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,508 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 01:28 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,287 | $48.48 | $110,873.76 |
DisclosureSEC source: 0001299709-21-000214 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,620 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 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 28, 2021 Filed Aug 31, 2021 22:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,999 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000174 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,941 Underlying: Common Stock · 1,999 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 28, 2021 Filed Aug 31, 2021 22:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 972 | $49.60 | $48,211.20 |
DisclosureSEC source: 0001299709-21-000174 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,333 F1 · security: Represents shares of Common Stock issued on August 28, 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 28, 2021 Filed Aug 31, 2021 22:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,999 | $49.60 | $99,150.40 |
DisclosureSEC source: 0001299709-21-000174 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,305 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 28, 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 |
| July 19, 2021 Filed Jul 21, 2021 19:16 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 929 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000112 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,940 Underlying: Common Stock · 929 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 19, 2021 Filed Jul 21, 2021 19:16 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 443 | $45.33 | $20,081.19 |
DisclosureSEC source: 0001299709-21-000112 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,306 F1 · security: Represents shares of Common Stock issued on July 19, 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 19, 2021 Filed Jul 21, 2021 19:16 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 929 | $45.33 | $42,111.57 |
DisclosureSEC source: 0001299709-21-000112 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,749 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 19, 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 17:43 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 2,991 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000076 · edgardoc.xml · derivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,869 Underlying: Common Stock · 2,991 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 08, 2021 Filed Mar 10, 2021 00:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 3,969 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000043 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,878 Underlying: Common Stock · 3,969 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 08, 2021 Filed Mar 10, 2021 00:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 2,033 | $48.94 | $99,495.02 |
DisclosureSEC source: 0001299709-21-000043 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,820 F1 · security: Represents shares of Common Stock issued on March 8, 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 08, 2021 Filed Mar 10, 2021 00:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 3,969 | $48.94 | $194,242.86 |
DisclosureSEC source: 0001299709-21-000043 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,853 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 8, 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 18:49 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 871 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000278 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,847 Underlying: Common Stock · 871 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 18:49 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 423 | $36.61 | $15,486.03 |
DisclosureSEC source: 0001299709-20-000278 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,884 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 18:49 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 871 | $36.61 | $31,887.31 |
DisclosureSEC source: 0001299709-20-000278 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,307 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 |
| August 31, 2020 Filed Sep 2, 2020 20:49 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,861 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000187 · edgardoc.xml · derivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,718 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 |
| August 28, 2020 Filed Aug 31, 2020 20:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,998 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000159 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,857 Underlying: Common Stock · 1,998 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 28, 2020 Filed Aug 31, 2020 20:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 972 | $25.35 | $24,640.20 |
DisclosureSEC source: 0001299709-20-000159 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,436 F1 · security: Represents shares of Common Stock issued on August 28, 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 |
| August 28, 2020 Filed Aug 31, 2020 20:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,998 | $25.35 | $50,649.30 |
DisclosureSEC source: 0001299709-20-000159 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,408 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 28, 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 19, 2020 Filed Jul 21, 2020 00:13 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 928 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000108 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,855 Underlying: Common Stock · 928 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 19, 2020 Filed Jul 21, 2020 00:13 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 451 | $20.61 | $9,295.11 |
DisclosureSEC source: 0001299709-20-000108 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,410 F1 · security: Represents shares of Common Stock issued on July 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 |
| July 19, 2020 Filed Jul 21, 2020 00:13 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 928 | $20.61 | $19,126.08 |
DisclosureSEC source: 0001299709-20-000108 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,861 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 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 |
| July 12, 2020 Filed Jul 14, 2020 20:22 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 911 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000103 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,783 Underlying: Common Stock · 911 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 | 443 | $20.16 | $8,930.88 |
DisclosureSEC source: 0001299709-20-000103 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,933 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 | 911 | $20.16 | $18,365.76 |
DisclosureSEC source: 0001299709-20-000103 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,376 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 08, 2020 Filed Mar 9, 2020 20:57 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,359 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000027 · edgardoc.xml · derivative · entry 5 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,694 Underlying: Common Stock · 6,359 shares Expires not disclosed F5 · security: Grant to the reporting person on March 08, 2020 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. F6 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. 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 08, 2020 Filed Mar 9, 2020 20:57 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,849 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000027 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,335 Underlying: Common Stock · 1,849 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 08, 2020 Filed Mar 9, 2020 20:57 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,014 | $22.13 | $22,439.82 |
DisclosureSEC source: 0001299709-20-000027 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,465 F1 · security: Represents shares of Common Stock issued on March 8, 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 08, 2020 Filed Mar 9, 2020 20:57 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,849 | $22.13 | $40,918.37 |
DisclosureSEC source: 0001299709-20-000027 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,479 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 8, 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 22:38 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 871 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000209 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,184 Underlying: Common Stock · 871 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 22:38 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 423 | $30.35 | $12,838.05 |
DisclosureSEC source: 0001299709-19-000209 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,630 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 22:38 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 871 | $30.35 | $26,434.85 |
DisclosureSEC source: 0001299709-19-000209 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,053 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 |
| December 15, 2019 Filed Dec 17, 2019 18:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 799 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000197 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,055 Underlying: Common Stock · 799 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 15, 2019 Filed Dec 17, 2019 18:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 388 | $29.44 | $11,422.72 |
DisclosureSEC source: 0001299709-19-000197 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,182 F1 · security: Represents shares of Common Stock issued on December 15, 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 15, 2019 Filed Dec 17, 2019 18:37 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 799 | $29.44 | $23,522.56 |
DisclosureSEC source: 0001299709-19-000197 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,570 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 15, 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 |
| August 28, 2019 Filed Aug 30, 2019 22:25 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 5,996 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000141 · edgardoc.xml · derivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,854 Underlying: Common Stock · 5,996 shares Expires not disclosed F1 · security: Grant to the reporting person on August 28, 2019 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3 · derivative.exercise_date: The RSUs vest over three years, one-third on each anniversary date of grant. F3 · derivative.expiration_date: The RSUs vest over three years, one-third on each anniversary date of grant. Read SEC document |
| July 19, 2019 Filed Jul 22, 2019 19:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 1,944 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000050 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,858 Underlying: Common Stock · 0 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 19, 2019 Filed Jul 22, 2019 19:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 945 | $26.52 | $25,061.40 |
DisclosureSEC source: 0001299709-19-000050 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,771 F1 · security: Represents shares of Common Stock issued on July 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 |
| July 19, 2019 Filed Jul 22, 2019 19:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 1,944 | $26.52 | $51,554.88 |
DisclosureSEC source: 0001299709-19-000050 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,716 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 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 |
| July 12, 2019 Filed Jul 15, 2019 19:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 911 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000042 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,802 Underlying: Common Stock · 911 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 19:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 443 | $26.76 | $11,854.68 |
DisclosureSEC source: 0001299709-19-000042 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,772 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 19:34 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 911 | $26.76 | $24,378.36 |
DisclosureSEC source: 0001299709-19-000042 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,215 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 |
| March 08, 2019 Filed Mar 12, 2019 01:43 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 5,549 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-19-000015 · edgardoc.xml · derivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,713 Underlying: Common Stock · 5,549 shares Expires not disclosed F1 · security: Grant to the reporting person on March 8, 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 |
| December 19, 2018 Filed Dec 21, 2018 00:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 870 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-18-000144 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,164 Underlying: Common Stock · 870 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. 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. 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, 2018 Filed Dec 21, 2018 00:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 423 | $25.41 | $10,748.43 |
DisclosureSEC source: 0001299709-18-000144 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,304 F1 · security: Represents shares of Common Stock issued on December 19, 2018 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, 2018 Filed Dec 21, 2018 00:40 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 870 | $25.41 | $22,106.70 |
DisclosureSEC source: 0001299709-18-000144 · edgardoc.xml · nonDerivative · entry 1 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,727 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, 2018 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 15, 2018 Filed Dec 18, 2018 00:54 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 799 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001299709-18-000142 · edgardoc.xml · derivative · entry 4 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,034 Underlying: Common Stock · 799 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 15, 2018 Filed Dec 18, 2018 00:54 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 388 | $28.21 | $10,945.48 |
DisclosureSEC source: 0001299709-18-000142 · edgardoc.xml · nonDerivative · entry 2 Walsh Derrick · CIK 0001636371 · SVP, Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,857 F1 · security: Represents shares of Common Stock issued on December 15, 2018 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.