Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Axos Financial, Inc.AX · Entity 3860 | Director | November 14, 2025 | November 19, 2025 |
| Braemar Hotels & Resorts Inc.BHR · Entity 6531 | Director | June 18, 2025 | June 20, 2025 |
| Wheeler Real Estate Investment Trust, Inc.WHLR · Entity 8666 | Director | June 02, 2021 | June 02, 2021 |
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 November 14, 2025 · Filed November 19, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,292 |
Reported balance
After 2025-11-14 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-11-14 · Exercise / conversion · Acquired 4,289 · Balance 13,292 F1: Represents shares of Common Stock issued on November 14, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. |
| Common StockSEC Table I · non-derivative | Direct | 11,148 |
Reported balance
After 2025-11-14 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2025-11-14 · Disposition to issuer · Disposed 2,144 · Balance 11,148 F2: Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-11-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-11-14 · Exercise / conversion · Disposed 4,289 · Balance 0 F3: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F4: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5: The RSUs fully vest on the one year anniversary of the grant date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 3,615 |
Reported balance
After 2025-11-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-11-14 · Grant · Acquired 3,615 · Balance 3,615 F6: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F4: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F7: The RSU's fully vest on January 3, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Common Stock issued on November 14, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan.
F2: Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs.
F3: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors.
F4: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock.
F5: The RSUs fully vest on the one year anniversary of the grant date.
F6: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors.
F7: The RSU's fully vest on January 3, 2027.
Braemar Hotels & Resorts Inc.
Report date June 18, 2025 · Filed June 20, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 62,833 |
Reported balance
After 2025-06-18 transaction · row 1
1 source rowRow 1 · 2025-06-18 · Grant · Acquired 3,489 · Balance 62,833 F1: On June 13, 2025, the Reporting Person entered into an Exchange Agreement (the "Exchange Agreement") with the Issuer pursuant to which the Reporting Person exchanged a number of vested LTIP Units (as defined below) for an equal number of shares of common stock in a Rule 16b-3 exempt transaction. No other consideration was involved in connection with the Exchange Agreement. |
| LTIP UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2025-06-18 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-06-18 · Disposition to issuer · Disposed 3,489 · Balance 0 F2: Represented special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), were convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F1: On June 13, 2025, the Reporting Person entered into an Exchange Agreement (the "Exchange Agreement") with the Issuer pursuant to which the Reporting Person exchanged a number of vested LTIP Units (as defined below) for an equal number of shares of common stock in a Rule 16b-3 exempt transaction. No other consideration was involved in connection with the Exchange Agreement. F3: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. |
| Common Partnership UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 38,002 |
Reported balance
Holding disclosure · report date 2025-06-18 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 38,002 F4: Common Partnership Units are redeemable for cash or, at the option of the Issuer, convertible into shares of the Issuer's common stock on a 1-for-1 basis. F3: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. F5: Reflects the aggregate number of Common Partnership Units currently held directly or indirectly, as noted, by the Reporting Person. See Footnote 4 discussing the convertibility of the Common Partnership Units. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 13, 2025, the Reporting Person entered into an Exchange Agreement (the "Exchange Agreement") with the Issuer pursuant to which the Reporting Person exchanged a number of vested LTIP Units (as defined below) for an equal number of shares of common stock in a Rule 16b-3 exempt transaction. No other consideration was involved in connection with the Exchange Agreement.
F2: Represented special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), were convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units.
F3: Neither the Common Partnership Units nor vested LTIP Units have an expiration date.
F4: Common Partnership Units are redeemable for cash or, at the option of the Issuer, convertible into shares of the Issuer's common stock on a 1-for-1 basis.
F5: Reflects the aggregate number of Common Partnership Units currently held directly or indirectly, as noted, by the Reporting Person. See Footnote 4 discussing the convertibility of the Common Partnership Units.
Wheeler Real Estate Investment Trust, Inc.
Report date June 02, 2021 · Filed June 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,800 |
Reported balance
After 2021-06-02 transaction · row 1
1 source rowRow 1 · 2021-06-02 · Purchase · Acquired 1,800 · Balance 1,800 |
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 |
|---|---|---|---|---|---|---|
| November 14, 2025 Filed Nov 19, 2025 00:17 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 3,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001591372-25-000003 · edgardoc.xml · derivative · entry 4 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,615 Underlying: Common Stock · 3,615 shares Expires not disclosed F6 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F7 · derivative.exercise_date: The RSU's fully vest on January 3, 2027. F7 · derivative.expiration_date: The RSU's fully vest on January 3, 2027. Read SEC document |
| November 14, 2025 Filed Nov 19, 2025 00:17 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001591372-25-000003 · edgardoc.xml · derivative · entry 3 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,289 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs fully vest on the one year anniversary of the grant date. F5 · derivative.expiration_date: The RSUs fully vest on the one year anniversary of the grant date. Read SEC document |
| November 14, 2025 Filed Nov 19, 2025 00:17 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 2,144 | $79.12 | $169,633.28 |
DisclosureSEC source: 0001591372-25-000003 · edgardoc.xml · nonDerivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 11,148 F2 · shares: Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. Read SEC document |
| November 14, 2025 Filed Nov 19, 2025 00:17 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 4,289 | $79.12 | $339,345.68 |
DisclosureSEC source: 0001591372-25-000003 · edgardoc.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,292 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on November 14, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. Read SEC document |
| June 18, 2025 Filed Jun 20, 2025 16:17 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | Disposition to issuerLTIP Units · Derivative | 3,489 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-061093 · tm2518396-1_4seq1.xml · derivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,489 shares Expires not disclosed F2 · security: Represented special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), were convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F1 · derivative.exercise_price: On June 13, 2025, the Reporting Person entered into an Exchange Agreement (the "Exchange Agreement") with the Issuer pursuant to which the Reporting Person exchanged a number of vested LTIP Units (as defined below) for an equal number of shares of common stock in a Rule 16b-3 exempt transaction. No other consideration was involved in connection with the Exchange Agreement. F1 · kind: On June 13, 2025, the Reporting Person entered into an Exchange Agreement (the "Exchange Agreement") with the Issuer pursuant to which the Reporting Person exchanged a number of vested LTIP Units (as defined below) for an equal number of shares of common stock in a Rule 16b-3 exempt transaction. No other consideration was involved in connection with the Exchange Agreement. F2 · derivative.exercise_date: Represented special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), were convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F3 · derivative.expiration_date: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. Read SEC document |
| June 18, 2025 Filed Jun 20, 2025 16:17 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantCommon Stock | 3,489 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-061093 · tm2518396-1_4seq1.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,833 F1 · acquired: On June 13, 2025, the Reporting Person entered into an Exchange Agreement (the "Exchange Agreement") with the Issuer pursuant to which the Reporting Person exchanged a number of vested LTIP Units (as defined below) for an equal number of shares of common stock in a Rule 16b-3 exempt transaction. No other consideration was involved in connection with the Exchange Agreement. Read SEC document |
| November 14, 2024 Filed Nov 16, 2024 00:13 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-24-000245 · edgardoc.xml · derivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,289 Underlying: Common Stock · 4,289 shares Expires not disclosed F1 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. The number of RSUs granted reflected a change in the compensation applicable to the nonemployee members of the Board of Directors to: (a) change the annual grant date from August of each year to the date of the annual meeting of the stockholders of Axos Financial, Inc.; (b) be based on certain approved dollar amounts (which for certain directors include premiums for service as chairman or vice chairman of the Board of Directors or its committees), divided by the closing stock price on the grant date; and (c) include additional amounts for this year?s grants in light of the delayed grant date for the current year. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3 · derivative.exercise_date: The RSUs fully vest on the anniversary date of grant. F3 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-24-000151 · edgardoc.xml · derivative · entry 6 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F7 · derivative.exercise_date: The RSUs fully vest on the anniversary date of grant. F7 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-24-000151 · edgardoc.xml · derivative · entry 5 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 2,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F6 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F6 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 999 | $69.43 | $69,360.57 |
DisclosureSEC source: 0001299709-24-000151 · edgardoc.xml · nonDerivative · entry 4 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,003 F3 · shares: Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 2,999 | $69.43 | $208,220.57 |
DisclosureSEC source: 0001299709-24-000151 · edgardoc.xml · nonDerivative · entry 3 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,002 F3 · shares: Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 6,000 | $69.43 | $416,580.00 |
DisclosureSEC source: 0001299709-24-000151 · edgardoc.xml · nonDerivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,001 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. F2 · security: Represents shares of Common Stock issued on August 31, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. Read SEC document |
| August 31, 2024 Filed Sep 5, 2024 00:33 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,000 | $69.43 | $138,860.00 |
DisclosureSEC source: 0001299709-24-000151 · edgardoc.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,001 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 31, 2024, following the vesting of Restricted Stock Units ("RSUs") which vest 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. Read SEC document |
| May 15, 2024 Filed May 17, 2024 20:43 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantLTIP Units · Derivative | 14,925 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-063062 · tm2414778-1_4seq1.xml · derivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,414 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · security: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F1 · derivative.exercise_price: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F2 · kind: The LTIP Unit awards reported herein were issued as an annual grant under the Issuer's Second Amended and Restated 2013 Equity Incentive Plan, in connection with the Reporting Person's continued service on the Issuer's Board of Directors. F2 · price: The LTIP Unit awards reported herein were issued as an annual grant under the Issuer's Second Amended and Restated 2013 Equity Incentive Plan, in connection with the Reporting Person's continued service on the Issuer's Board of Directors. F1 · derivative.exercise_date: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F3 · derivative.expiration_date: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. F1 · derivative.underlying: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F1 · derivative.underlying_shares: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 17:09 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000220 · edgardoc.xml · derivative · entry 4 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 2,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F7 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F7 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 17:09 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000220 · edgardoc.xml · derivative · entry 3 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 6,000 shares Expires not disclosed F3 · security: Grant to the reporting person on August 31, 2023 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs fully vest on the anniversary date of grant. F5 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 17:09 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 999 | $43.09 | $43,046.91 |
DisclosureSEC source: 0001299709-23-000220 · edgardoc.xml · nonDerivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,001 F2 · shares: Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. Read SEC document |
| August 31, 2023 Filed Sep 5, 2023 17:09 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,000 | $43.09 | $86,180.00 |
DisclosureSEC source: 0001299709-23-000220 · edgardoc.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 31, 2023, 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. Read SEC document |
| August 15, 2023 Filed Aug 17, 2023 21:00 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000173 · edgardoc.xml · derivative · entry 3 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 6,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs fully vest on the anniversary date of grant. F5 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| August 15, 2023 Filed Aug 17, 2023 21:00 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 3,000 | $41.42 | $124,260.00 |
DisclosureSEC source: 0001299709-23-000173 · edgardoc.xml · nonDerivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,000 F2 · shares: Represents shares of Common Stock retained by Axos Financial, Inc. in exchange for cash paid to the reporting person for tax liabilities in respect to the vested RSUs. Read SEC document |
| August 15, 2023 Filed Aug 17, 2023 21:00 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 6,000 | $41.42 | $248,520.00 |
DisclosureSEC source: 0001299709-23-000173 · edgardoc.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 15, 2023, following the vesting of Restricted Stock Units ("RSUs") which vest on the one-year anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. Amended and Restated 2014 Stock Incentive Plan. Read SEC document |
| May 10, 2023 Filed May 12, 2023 23:38 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantCommon Stock | 14,925 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-059971 · tm2315591-5_4seq1.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,344 F1 · kind: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's Second Amended and Restated 2013 Equity Incentive Plan, in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. F1 · price: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's Second Amended and Restated 2013 Equity Incentive Plan, in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. Read SEC document |
| September 01, 2022 Filed Sep 3, 2022 00:46 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 1,000 | $40.63 | $40,630.00 |
DisclosureSEC source: 0001299709-22-000213 · edgardoc.xml · nonDerivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 F3 · price: These transactions were executed in multiple trades, at prices ranging from $40.43 to $41.34. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold and the prices at which each trade was effected. Read SEC document |
| August 31, 2022 Filed Sep 3, 2022 00:46 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000213 · edgardoc.xml · derivative · entry 3 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 2,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: The RSUs were granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F5 · derivative.exercise_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. F5 · derivative.expiration_date: The RSUs vest as to one-third of the shares on each anniversary date of grant. Read SEC document |
| August 31, 2022 Filed Sep 3, 2022 00:46 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,000 | $41.78 | $83,560.00 |
DisclosureSEC source: 0001299709-22-000213 · edgardoc.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on August 31, 2022, following the vesting of Restricted Stock Units ("RSUs") which vest as to one-third of the shares on each anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| August 15, 2022 Filed Aug 17, 2022 22:54 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000156 · edgardoc.xml · derivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 6,000 shares Expires not disclosed F1 · security: Grant to the reporting person on August 15, 2022 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3 · derivative.exercise_date: The RSUs fully vest on the anniversary date of grant. F3 · derivative.expiration_date: The RSUs fully vest on the anniversary date of grant. Read SEC document |
| May 11, 2022 Filed May 13, 2022 20:30 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantCommon Stock | 14,925 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-060391 · tm2215539-3_4seq1.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,419 F1 · kind: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's Second Amended and Restated 2013 Equity Incentive Plan (the "Plan"), in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. F1 · price: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's Second Amended and Restated 2013 Equity Incentive Plan (the "Plan"), in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. Read SEC document |
| August 31, 2021 Filed Sep 9, 2021 20:28 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000230 · edgardoc.xml · derivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires not disclosed F1 · security: Grant to the reporting person on August 31, 2021 of restricted stock units ("RSUs") under the Axos Financial, Inc. 2014 Stock Incentive Plan in connection with the reporting person's service as a member of the Board of Directors. F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. F3 · derivative.exercise_date: The RSUs 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 |
| June 02, 2021 Filed Jun 2, 2021 23:01 UTC | Wheeler Real Estate Investment Trust, Inc. WHLR · Entity 8666 | PurchaseCommon Stock | 1,800 | $4.89 | $8,802.00 |
DisclosureSEC source: 0001213900-21-030631 · ownership.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,800 Read SEC document |
| May 11, 2021 Filed May 13, 2021 21:12 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantLTIP Units · Derivative | 289 | $6.07 Strike: $0.00 | $1,754.23 |
DisclosureSEC source: 0001104659-21-066041 · tm2116222-2_4seq1.xml · derivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,166 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · security: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F2 · derivative.exercise_price: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F3 · kind: The LTIP Units were issued to the Reporting Person under the Plan in lieu of certain cash retainer fees and were fully vested upon grant. F3 · price: The LTIP Units were issued to the Reporting Person under the Plan in lieu of certain cash retainer fees and were fully vested upon grant. F2 · derivative.exercise_date: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F4 · derivative.expiration_date: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. F2 · derivative.underlying: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F2 · derivative.underlying_shares: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. Read SEC document |
| May 11, 2021 Filed May 13, 2021 21:12 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-066041 · tm2116222-2_4seq1.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,494 F1 · kind: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's Second Amended and Restated 2013 Equity Incentive Plan (the "Plan"), in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. F1 · price: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's Second Amended and Restated 2013 Equity Incentive Plan (the "Plan"), in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. Read SEC document |
| December 15, 2020 Filed Dec 17, 2020 23:02 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantLTIP Units · Derivative | 1,094 | $4.80 Strike: $0.00 | $5,251.20 |
DisclosureSEC source: 0001567619-20-021294 · doc1.xml · derivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,877 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · security: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F2 · kind: The LTIP Units were issued to the Reporting Person under the Issuer's 2013 Equity Incentive Plan in lieu of certain cash retainer fees and were fully vested upon grant. F2 · price: The LTIP Units were issued to the Reporting Person under the Issuer's 2013 Equity Incentive Plan in lieu of certain cash retainer fees and were fully vested upon grant. F1 · derivative.exercise_date: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F3 · derivative.expiration_date: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. F1 · derivative.underlying: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F1 · derivative.underlying_shares: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 20:22 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantLTIP Units · Derivative | 2,135 | $2.46 Strike: $0.00 | $5,252.10 |
DisclosureSEC source: 0001104659-20-110420 · a4.xml · derivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,783 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · security: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F2 · kind: The LTIP Units were issued to the Reporting Person under the Issuer's 2013 Equity Incentive Plan in lieu of certain cash retainer fees and were fully vested upon grant. F2 · price: The LTIP Units were issued to the Reporting Person under the Issuer's 2013 Equity Incentive Plan in lieu of certain cash retainer fees and were fully vested upon grant. F1 · derivative.exercise_date: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F3 · derivative.expiration_date: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. F1 · derivative.underlying: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F1 · derivative.underlying_shares: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. Read SEC document |
| May 22, 2020 Filed May 27, 2020 20:06 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantLTIP Units · Derivative | 7,748 | $2.42 Strike: $0.00 | $18,750.16 |
DisclosureSEC source: 0001104659-20-066381 · a4.xml · derivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,648 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · security: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F2 · kind: The LTIP Units were issued to the Reporting Person under the Issuer's 2013 Equity Incentive Plan in lieu of 25% of the annual cash retainers (as such cash retainers were reduced in March 2020) that would otherwise be payable to the Reporting Person under the Issuer's non-employee director compensation program for a one-year period and are fully vested. F2 · price: The LTIP Units were issued to the Reporting Person under the Issuer's 2013 Equity Incentive Plan in lieu of 25% of the annual cash retainers (as such cash retainers were reduced in March 2020) that would otherwise be payable to the Reporting Person under the Issuer's non-employee director compensation program for a one-year period and are fully vested. F1 · derivative.exercise_date: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F3 · derivative.expiration_date: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. F1 · derivative.underlying: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F1 · derivative.underlying_shares: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. Read SEC document |
| May 15, 2020 Filed May 19, 2020 20:16 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantLTIP Units · Derivative | 5,700 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-063757 · a4.xml · derivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,900 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · security: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F2 · kind: The LTIP Units award reported herein were issued as an annual grant under the Issuer's 2013 Equity Incentive Plan upon the Reporting Person's re-election to the Issuer's Board of Directors. F1 · derivative.exercise_date: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F3 · derivative.expiration_date: Neither the Common Partnership Units nor vested LTIP Units have an expiration date. F1 · derivative.underlying: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. F1 · derivative.underlying_shares: Fully vested special long-term incentive partnership units ("LTIP Units") in Braemar Hospitality Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. See Footnote 4 discussing the convertibility of Common Partnership Units. Read SEC document |
| August 23, 2019 Filed Aug 26, 2019 20:59 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | PurchaseCommon Stock | 500 | $8.60 | $4,300.00 |
DisclosureSEC source: 0001104659-19-047303 · a4.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,300 Read SEC document |
| July 31, 2019 Filed Aug 2, 2019 23:23 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantCommon Stock | 5,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-043794 · a4.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,800 F1 · kind: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's 2013 Equity Incentive Plan, in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. F1 · price: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's 2013 Equity Incentive Plan, in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. Read SEC document |
| August 14, 2018 Filed Aug 16, 2018 16:48 UTC | Braemar Hotels & Resorts Inc. BHR · Entity 6531 | GrantCommon Stock | 5,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-18-001265 · doc1.xml · nonDerivative · entry 1 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,100 F1 · kind: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's 2013 Equity Incentive Plan, in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. F1 · price: The Reporting Person received the shares pursuant to a stock grant from the Issuer, under the Issuer's 2013 Equity Incentive Plan, in connection with the re-election of the Reporting Person to the Issuer's Board of Directors. Read SEC document |
| June 12, 2017 Filed Jun 13, 2017 21:50 UTC | Braemar Hotels & Resorts Inc. AHP · Entity 6531 | GrantLTIP Units · Derivative | 3,200 | $0.05 Strike: $0.00 | $160.00 |
DisclosureSEC source: 0000909143-17-000065 · primary_doc.xml · derivative · entry 2 Carter Stefani D · CIK 0001591372 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,600 Underlying: Common Stock · 3,200 shares Expires not disclosed F1 · security: Fully vested special long-term incentive partnership units ("LTIP Units") in Ashford Hospitality Prime Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. Common Partnership Units are redeemable for cash or, at the option of the Issuer, convertible into shares of the Issuer's common stock on a 1-for-1 basis. F1 · derivative.exercise_price: Fully vested special long-term incentive partnership units ("LTIP Units") in Ashford Hospitality Prime Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. Common Partnership Units are redeemable for cash or, at the option of the Issuer, convertible into shares of the Issuer's common stock on a 1-for-1 basis. F2 · kind: The LTIP Units award reported herein were issued as an annual grant under the Issuer's 2013 Equity Incentive Plan upon the Reporting Person's re-election to the Issuer's Board of Directors. F4 · price: Per LTIP Unit purchase price. F1 · derivative.exercise_date: Fully vested special long-term incentive partnership units ("LTIP Units") in Ashford Hospitality Prime Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. Common Partnership Units are redeemable for cash or, at the option of the Issuer, convertible into shares of the Issuer's common stock on a 1-for-1 basis. F3 · derivative.expiration_date: The LTIP Units have no expiration date. F1 · derivative.underlying: Fully vested special long-term incentive partnership units ("LTIP Units") in Ashford Hospitality Prime Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. Common Partnership Units are redeemable for cash or, at the option of the Issuer, convertible into shares of the Issuer's common stock on a 1-for-1 basis. F1 · derivative.underlying_shares: Fully vested special long-term incentive partnership units ("LTIP Units") in Ashford Hospitality Prime Limited Partnership, the Issuer's operating subsidiary ("Subsidiary"). Vested LTIP Units, upon achieving parity with the Common Limited Partnership Units of the Subsidiary ("Common Partnership Units"), are convertible into Common Partnership Units at the option of the Reporting Person. Common Partnership Units are redeemable for cash or, at the option of the Issuer, convertible into shares of the Issuer's common stock on a 1-for-1 basis. F5 · balance_after: Reflects the aggregate number of LTIP Units held by the Reporting Person following the LTIP Units award reported herein, and includes LTIP Units comprising awards previously granted to, and reported by, the Reporting Person. Such LTIP Units have different grant and vesting dates and include those which (i) may have achieved parity with the Common Partnership Units, (ii) have not yet achieved parity with the Common Partnership Units, (iii) are currently vested, or (iv) have not yet vested. Such LTIP Units have been combined herein solely for reporting purposes. See Footnote 1 discussing convertibility of LTIP Units and Common Partnership Units. 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.