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 18, 2025 |
| C1 Fund Inc.CFND · Entity 1368 | Director | August 08, 2025 | August 11, 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 18, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 14,539 |
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 14,539 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 | 12,395 |
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 12,395 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.
C1 Fund Inc.
Report date August 08, 2025 · Filed August 11, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 30,000 |
Reported balance
After 2025-08-08 transaction · row 1
1 source rowRow 1 · 2025-08-08 · Purchase · Acquired 30,000 · Balance 30,000 |
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 18, 2025 19:27 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 3,615 | $0.00 | $0.00 |
DisclosureSEC source: 0002001931-25-000003 · edgardoc.xml · derivative · entry 4 Wardell-Smith Sara · CIK 0002001931 · 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 18, 2025 19:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0002001931-25-000003 · edgardoc.xml · derivative · entry 3 Wardell-Smith Sara · CIK 0002001931 · 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 18, 2025 19:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 2,144 | $79.12 | $169,633.28 |
DisclosureSEC source: 0002001931-25-000003 · edgardoc.xml · nonDerivative · entry 2 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,395 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 18, 2025 19:27 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 4,289 | $79.12 | $339,345.68 |
DisclosureSEC source: 0002001931-25-000003 · edgardoc.xml · nonDerivative · entry 1 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,539 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 |
| August 08, 2025 Filed Aug 11, 2025 18:38 UTC | C1 Fund Inc. CFND · Entity 1368 | PurchaseCommon Stock | 30,000 | $10.00 | $300,000.00 |
DisclosureSEC source: 0001104659-25-076103 · tm2522756-11_4seq1.xml · nonDerivative · entry 1 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Read SEC document |
| March 04, 2025 Filed Mar 5, 2025 18:27 UTC | Axos Financial, Inc. AX · Entity 3860 | PurchaseCommon Stock | 3,000 | $64.73 | $194,203.50 |
DisclosureSEC source: 0001299709-25-000017 · edgardoc.xml · nonDerivative · entry 1 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,250 F1 · price: These transactions were executed in multiple trades, at prices ranging from $64.6600 to $64.7699. The price reported above reflects the weighted average purchase 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 |
| December 15, 2024 Filed Dec 18, 2024 16:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionRestricted Stock Units · Derivative | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-24-000262 · edgardoc.xml · derivative · entry 3 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,289 Underlying: Common Stock · 4,500 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 |
| December 15, 2024 Filed Dec 18, 2024 16:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Disposition to issuerCommon Stock | 2,250 | $79.62 | $179,145.00 |
DisclosureSEC source: 0001299709-24-000262 · edgardoc.xml · nonDerivative · entry 2 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,250 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 |
| December 15, 2024 Filed Dec 18, 2024 16:26 UTC | Axos Financial, Inc. AX · Entity 3860 | Exercise / conversionCommon Stock | 4,500 | $79.62 | $358,290.00 |
DisclosureSEC source: 0001299709-24-000262 · edgardoc.xml · nonDerivative · entry 1 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,500 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Represents shares of Common Stock issued on December 15, 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 15, 2024 19:29 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 4,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-24-000253 · edgardoc.xml · derivative · entry 1 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,789 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 |
| March 15, 2024 Filed Mar 19, 2024 17:21 UTC | Axos Financial, Inc. AX · Entity 3860 | PurchaseCommon Stock | 5,000 | $49.75 | $248,750.00 |
DisclosureSEC source: 0001299709-24-000058 · edgardoc.xml · nonDerivative · entry 1 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| December 15, 2023 Filed Dec 18, 2023 17:05 UTC | Axos Financial, Inc. AX · Entity 3860 | GrantRestricted Stock Units · Derivative | 4,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001299709-23-000322 · edgardoc.xml · derivative · entry 1 Wardell-Smith Sara · CIK 0002001931 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,500 Underlying: Common Stock · 4,500 shares Expires not disclosed F1 · security: Grant to the reporting person on December 15, 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. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.