Insider · CIK 0001316254

Santi Roque A

Reports to the SEC for 2 companies · LAS VEGAS, NV

sec.gov

Transactions

Companies

Filings

CIK

0001316254

Forms 4 and 5

Insider transactions

21 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2026-08-05	AXAxos Financial, Inc.S Sale	Director	SSale	−500 sh	$105.30	−$52.7K	7,146
2026-05-08	AXAxos Financial, Inc.S Sale	Director	SSale	−500 sh	$87.77	−$43.9K	7,646
2025-11-14	AXAxos Financial, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+4,289 sh	$79.12	+$339K	10,290
2025-11-14	AXAxos Financial, Inc.D Disposition to Issuer	Director	DDisposition to Issuer	−2,144 sh	$79.12	−$170K	8,146
2025-11-14	AXAxos Financial, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−4,289 sh	—	—	0
2025-11-14	AXAxos Financial, Inc. · Restricted Stock UnitsA Award	Director	AAward	+3,615 sh	—	—	3,615
2024-11-14	AXAxos Financial, Inc. · Restricted Stock UnitsA Award	Director	AAward	+4,289 sh	—	—	4,289
2024-11-14	AXAxos Financial, Inc. · Restricted Stock UnitsA Award	Director	AAward	0 sh	—	—	4,289
2024-11-14	AXAxos Financial, Inc. · Restricted Stock UnitsA Award	Director	AAward	+4,289 sh	—	—	4,289
2024-08-31	AXAxos Financial, Inc.D Disposition to Issuer	Director	DDisposition to Issuer	−2,999 sh	$69.43	−$208K	6,001
2024-08-31	AXAxos Financial, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+6,000 sh	$69.43	+$417K	9,000
2024-08-31	AXAxos Financial, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−6,000 sh	—	—	0
2023-09-15	AXAxos Financial, Inc.M Exercise/Conversion	Director	MExercise/Conversion	+6,000 sh	$42.40	+$254K	6,000
2023-09-15	AXAxos Financial, Inc.D Disposition to Issuer	Director	DDisposition to Issuer	−3,000 sh	$42.40	−$127K	3,000
2023-09-15	AXAxos Financial, Inc. · Restricted Stock UnitsM Exercise/Conversion	Director	MExercise/Conversion	−6,000 sh	—	—	6,000
2023-08-31	AXAxos Financial, Inc. · Restricted Stock UnitsA Award	Director	AAward	+6,000 sh	—	—	12,000
2022-09-15	AXAxos Financial, Inc. · Restricted Stock UnitsA Award	Director	AAward	+6,000 sh	—	—	6,000
2005-06-21	ECROECC Capital CORPA Award	Exec. VP and CFO	AAward	+25K sh	—	—	150,000
2005-06-21	ECROECC Capital CORP · Employee Stock Option (right to buy)A Award	Exec. VP and CFO	AAward	+65K sh	—	—	65,000
2005-02-18	ECROECC Capital CORPA Award	Exec. VP and CFO	AAward	+125K sh	—	—	125,000
2005-02-18	ECROECC Capital CORP · Employee Stock Option (right to buy)A Award	Exec. VP and CFO	AAward	+250K sh	—	—	250,000

Recent filings

Accepted (ET)
Aug 74
Santi Roque A0001316254-26-000005
SEC(opens sec.gov)
May 124
Santi Roque A0001316254-26-000003
SEC(opens sec.gov)
Nov 184
Santi Roque A0001316254-25-000003
SEC(opens sec.gov)
Aug 14/A
Santi Roque A0001299709-25-000114
SEC(opens sec.gov)
Nov 154
Santi Roque A0001299709-24-000252
SEC(opens sec.gov)
Nov 154
Santi Roque A0001299709-24-000251
SEC(opens sec.gov)
Sep 44
Santi Roque A0001299709-24-000157
SEC(opens sec.gov)
Sep 184
Santi Roque A0001299709-23-000251
SEC(opens sec.gov)
Sep 54
Santi Roque A0001299709-23-000231
SEC(opens sec.gov)
Sep 194
Santi Roque A0001299709-22-000250
SEC(opens sec.gov)
Jun 234
Santi Roque A0001181431-05-036453
SEC(opens sec.gov)
Feb 234
Santi Roque A0001181431-05-012050
SEC(opens sec.gov)

Companies

Address

9205 WEST RUSSELL ROAD SUITE 400

LAS VEGAS, NV, 89148