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 |
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 | 33,699 |
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 33,699 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 | 31,555 |
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 31,555 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.
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 00:20 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 3,615 | $0.00 | $0.00 |
DisclosureSEC source: 0001631683-25-000003 · edgardoc.xml · derivative · entry 4 Dada Uzair · CIK 0001631683 · 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 00:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001631683-25-000003 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · 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 00:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 2,144 | $79.12 | $169,633.28 |
DisclosureSEC source: 0001631683-25-000003 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,555 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 00:20 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 4,289 | $79.12 | $339,345.68 |
DisclosureSEC source: 0001631683-25-000003 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,699 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 |
| 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: 0001299709-24-000247 · edgardoc.xml · derivative · entry 1 Dada Uzair · CIK 0001631683 · 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: 0001299709-24-000153 · edgardoc.xml · derivative · entry 6 Dada Uzair · CIK 0001631683 · 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: 0001299709-24-000153 · edgardoc.xml · derivative · entry 5 Dada Uzair · CIK 0001631683 · 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: 0001299709-24-000153 · edgardoc.xml · nonDerivative · entry 4 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,410 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: 0001299709-24-000153 · edgardoc.xml · nonDerivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,409 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: 0001299709-24-000153 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,408 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. 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: 0001299709-24-000153 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,408 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 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 |
| August 31, 2023 Filed Sep 5, 2023 17:09 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000223 · edgardoc.xml · derivative · entry 7 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 2,667 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 | Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000223 · edgardoc.xml · derivative · entry 6 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,667 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: 0001299709-23-000223 · edgardoc.xml · derivative · entry 5 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,667 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 | 1,333 | $43.09 | $57,438.97 |
DisclosureSEC source: 0001299709-23-000223 · edgardoc.xml · nonDerivative · entry 4 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,408 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 | Disposition to issuerCommon Stock | 999 | $43.09 | $43,046.91 |
DisclosureSEC source: 0001299709-23-000223 · edgardoc.xml · nonDerivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,741 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 | 2,667 | $43.09 | $114,921.03 |
DisclosureSEC source: 0001299709-23-000223 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,740 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 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: 0001299709-23-000223 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,073 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 21:01 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000175 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,667 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 21:01 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 3,000 | $41.42 | $124,260.00 |
DisclosureSEC source: 0001299709-23-000175 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,073 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 21:01 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 6,000 | $41.42 | $248,520.00 |
DisclosureSEC source: 0001299709-23-000175 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,073 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 |
| September 01, 2022 Filed Sep 3, 2022 00:46 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 2,334 | $40.60 | $94,760.40 |
DisclosureSEC source: 0001299709-22-000216 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,073 F3 · price: These transactions were executed in multiple trades, at prices ranging from $40.36 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 | 4,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000216 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,667 Underlying: Common Stock · 4,667 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 | 4,667 | $41.78 | $194,987.26 |
DisclosureSEC source: 0001299709-22-000216 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,407 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 22:53 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000154 · edgardoc.xml · derivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,334 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 |
| August 02, 2022 Filed Aug 4, 2022 00:58 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 1,334 | $41.88 | $55,867.92 |
DisclosureSEC source: 0001299709-22-000129 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,740 Read SEC document |
| August 01, 2022 Filed Aug 4, 2022 00:58 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-22-000129 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,334 Underlying: Common Stock · 2,667 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. F2 · 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: 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. 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 01, 2022 Filed Aug 4, 2022 00:58 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,667 | $42.10 | $112,280.70 |
DisclosureSEC source: 0001299709-22-000129 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,074 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 01, 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. Read SEC document |
| September 05, 2021 Filed Sep 9, 2021 20:29 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000234 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,001 Underlying: Common Stock · 2,667 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 |
| September 05, 2021 Filed Sep 9, 2021 20:29 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 1,341 | $47.16 | $63,241.56 |
DisclosureSEC source: 0001299709-21-000234 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,407 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 |
| September 05, 2021 Filed Sep 9, 2021 20:29 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000234 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,748 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on September 5, 2021, following the vesting of Restricted Stock Units ("RSUs") which vest as to one-third of the shares on each anniversary of the date of grant. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · price: Each RSU represents a contingent right to receive one share of Axos Financial, Inc. Common Stock. Read SEC document |
| August 31, 2021 Filed Sep 2, 2021 00:48 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000193 · edgardoc.xml · derivative · entry 4 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,668 Underlying: Common Stock · 6,000 shares Expires not disclosed F5 · 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. 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 |
| August 31, 2021 Filed Sep 2, 2021 00:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000193 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,668 Underlying: Common Stock · 2,666 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 in connection with the reporting person's service as a member of the Board of Directors. 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 in connection with the reporting person's service as a member of the Board of Directors. 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 |
| August 31, 2021 Filed Sep 2, 2021 00:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,340 | $48.48 | $64,963.20 |
DisclosureSEC source: 0001299709-21-000193 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,081 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 00:48 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,666 | $48.48 | $129,247.68 |
DisclosureSEC source: 0001299709-21-000193 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,421 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 31, 2021 Filed Sep 2, 2021 00:47 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000192 · edgardoc.xml · derivative · entry 4 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,668 Underlying: Common Stock · 6,000 shares Expires not disclosed F5 · 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. 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 |
| August 31, 2021 Filed Sep 2, 2021 00:47 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000192 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,668 Underlying: Common Stock · 2,666 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 in connection with the reporting person's service as a member of the Board of Directors. 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 in connection with the reporting person's service as a member of the Board of Directors. 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 |
| August 31, 2021 Filed Sep 2, 2021 00:47 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,340 | $48.48 | $64,963.20 |
DisclosureSEC source: 0001299709-21-000192 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,081 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 00:47 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,666 | $48.48 | $129,247.68 |
DisclosureSEC source: 0001299709-21-000192 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,421 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 01, 2021 Filed Aug 4, 2021 21:02 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-21-000140 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,334 Underlying: Common Stock · 2,667 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 in connection with the reporting person's service as a member of the Board of Directors. 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 in connection with the reporting person's service as a member of the Board of Directors. 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 |
| August 01, 2021 Filed Aug 4, 2021 21:02 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,341 | $47.85 | $64,166.85 |
DisclosureSEC source: 0001299709-21-000140 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,755 F1 · security: Represents shares of Common Stock issued on August 1, 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 01, 2021 Filed Aug 4, 2021 21:02 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,667 | $47.85 | $127,615.95 |
DisclosureSEC source: 0001299709-21-000140 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,096 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 1, 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 08, 2021 Filed Mar 10, 2021 00:32 UTC | Axos Financial, Inc. AX · Entity 3860 | SaleCommon Stock | 4,949 | $48.86 | $241,788.34 |
DisclosureSEC source: 0001299709-21-000045 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,429 F1 · price: These transactions were executed in multiple trades, at prices ranging from $48.57 to $49.10. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold and the prices at which each trade was effected. Read SEC document |
| September 05, 2020 Filed Sep 9, 2020 20:30 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000219 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,001 Underlying: Common Stock · 2,667 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 in connection with the reporting person's service as a member of the Board of Directors. 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 in connection with the reporting person's service as a member of the Board of Directors. 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 |
| September 05, 2020 Filed Sep 9, 2020 20:30 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,341 | $24.91 | $33,404.31 |
DisclosureSEC source: 0001299709-20-000219 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,378 F1 · security: Represents shares of Common Stock issued on September 05, 2020, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · shares: Represents shares of Common Stock retained by Axos Financial, Inc. for tax withholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSUs. Read SEC document |
| September 05, 2020 Filed Sep 9, 2020 20:30 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,667 | $24.91 | $66,434.97 |
DisclosureSEC source: 0001299709-20-000219 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,719 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on September 05, 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 20:48 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000184 · edgardoc.xml · derivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,668 Underlying: Common Stock · 8,000 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 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 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 17, 2020 Filed Aug 19, 2020 00:09 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 2,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-20-000146 · edgardoc.xml · derivative · entry 3 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,668 Underlying: Common Stock · 2,667 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 in connection with the reporting person's service as a member of the Board of Directors. 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 in connection with the reporting person's service as a member of the Board of Directors. 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 |
| August 17, 2020 Filed Aug 19, 2020 00:09 UTC | Axos Financial, Inc. AX · Entity 3860 | Tax withholdingCommon Stock | 1,341 | $24.87 | $33,350.67 |
DisclosureSEC source: 0001299709-20-000146 · edgardoc.xml · nonDerivative · entry 2 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,052 F1 · security: Represents shares of Common Stock issued on August 17, 2020, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. F2 · shares: Represents shares of Common Stock retained by Axos Financial, Inc. for tax withholding purposes in connection with the net-settlement on the issuance of shares of Common Stock in respect to the vested RSUs. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 00:09 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 2,667 | $24.87 | $66,328.29 |
DisclosureSEC source: 0001299709-20-000146 · edgardoc.xml · nonDerivative · entry 1 Dada Uzair · CIK 0001631683 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,393 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 17, 2020, following the vesting of Restricted Stock Units ("RSUs") which vest one-third each year. The RSUs were previously granted to the reporting person under the Axos Financial, Inc. 2014 Stock Incentive Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.