Wardell-Smith Sara — SEC Form 4 filings
SEC reporting owner CIK 2001931. 6 Form 4 filings on record with FilingPulse; latest filed 2025-11-18.
Transaction summary — filings shown
Covers all 6 filings on record, filed 2024-03-19 to 2025-11-18. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 3 legs across 3 filings — 38,000 shares, $742,954 total (shares × price as filed).
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 8.
- Largest priced transaction: purchase of 30,000 shares @ $10.00 ($300,000) in C1 Fund Inc., filed 2025-08-11.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Axos Financial, Inc. (AX) | Director | 5 | 2 legs · 8,000 sh · $442,954 | — | 8 |
| C1 Fund Inc. (CFND) | Director | 1 | 1 leg · 30,000 sh · $300,000 | — | — |
Form 4 filings — Wardell-Smith Sara
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2025-11-18 | 4 | Axos Financial, Inc. (AX) | Option exercise (M): 4,289 @ $79.12 · Disposition to issuer (D): 2,144 @ $79.12 · Option exercise (M): 4,289 (derivative) @ $0 · Grant/award (A): 3,615 (derivative) @ $0 | EDGAR |
| 2025-08-11 | 4 | C1 Fund Inc. (CFND) | Purchase (P): 30,000 @ $10 | EDGAR |
| 2025-03-05 | 4 | Axos Financial, Inc. (AX) | Purchase (P): 3,000 @ $64.73 | EDGAR |
| 2024-12-18 | 4 | Axos Financial, Inc. (AX) | Option exercise (M): 4,500 @ $79.62 · Disposition to issuer (D): 2,250 @ $79.62 · Option exercise (M): 4,500 (derivative) @ $0 | EDGAR |
| 2024-11-15 | 4 | Axos Financial, Inc. (AX) | Grant/award (A): 4,289 (derivative) @ $0 | EDGAR |
| 2024-03-19 | 4 | Axos Financial, Inc. (AX) | Purchase (P): 5,000 @ $49.75 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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