Last 12 months
Inside the activity.
1 purchase rows · 89 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 2 |
| Dec 2025 | 0 | 1 |
| Jan 2026 | 0 | 9 |
| Feb 2026 | 0 | 13 |
| Mar 2026 | 0 | 10 |
| Apr 2026 | 0 | 9 |
| May 2026 | 1 | 7 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 18 |
| Aug 2026 | 0 | 18 |
| Sep 2026 | 0 | 1 |
| Oct 2026 | 0 | 1 |
Latest available
Insider transactions
Purchases/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 | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 03, 2015 Filed Mar 4, 2015 21:28 UTC |
Clark Bernard J.EVP - Advisor Services
|
Exercise / conversionCommon Stock | 4,209 | $29.95 | $126,059.55 |
DisclosureSEC source: 0001225208-15-006775 · doc4.xml · nonDerivative · entry 2 Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 106,310.2555 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 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| March 03, 2015 Filed Mar 4, 2015 21:28 UTC |
McCool James DEVP - Client Solutions
|
Exercise / conversionCommon Stock | 4,508 | $29.95 | $135,014.60 |
DisclosureSEC source: 0001225208-15-006776 · doc4.xml · nonDerivative · entry 2 McCool James D · CIK 0001389181 · EVP - Client Solutions 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,837.9918 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 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
GrantNonqualified Stock Option (right to buy) · Derivative | 66,186 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · derivative · entry 13 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,186 Underlying: Common Stock · 66,186 shares Expires 2025-03-02 F4 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 10,089 | $0.00 Strike: $16.40 | $0.00 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · derivative · entry 12 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,178 Underlying: Common Stock · 10,089 shares Expires 2023-03-01 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. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 8,264 | $0.00 Strike: $13.91 | $0.00 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · derivative · entry 11 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,265 Underlying: Common Stock · 8,264 shares Expires 2022-03-01 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. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 7,926 | $0.00 Strike: $18.66 | $0.00 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · derivative · entry 10 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,926 shares Expires 2021-03-01 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. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
SaleCommon Stock | 10,089 | $29.85 | $301,157.66 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · nonDerivative · entry 7 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 14,050.5645 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 24, 2014. F3 · price: This transaction was executed in multiple trades at prices ranging from $29.78 to $30.05. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
SaleCommon Stock | 8,264 | $29.36 | $242,631.04 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · nonDerivative · entry 6 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 24,139.5645 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 24, 2014. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
SaleCommon Stock | 7,926 | $30.15 | $238,968.90 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · nonDerivative · entry 5 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 32,403.5645 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 24, 2014. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionCommon Stock | 7,926 | $18.66 | $147,899.16 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · nonDerivative · entry 4 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 40,329.5645 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. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionCommon Stock | 8,264 | $13.91 | $114,952.24 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · nonDerivative · entry 3 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 32,403.5645 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. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionCommon Stock | 8,397 | $29.77 | $249,978.69 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · nonDerivative · entry 2 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 24,139.5645 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 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionCommon Stock | 10,089 | $16.40 | $165,459.60 |
DisclosureSEC source: 0001225208-15-006771 · doc4.xml · nonDerivative · entry 1 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 15,742.5645 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. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
GrantNonqualified Stock Option (right to buy) · Derivative | 180,506 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-15-006772 · doc4.xml · derivative · entry 7 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,506 Underlying: Common Stock · 180,506 shares Expires 2025-03-02 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
Exercise / conversionCommon Stock | 26,264 | $29.77 | $781,879.28 |
DisclosureSEC source: 0001225208-15-006772 · doc4.xml · nonDerivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,396 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 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Bettinger Walter WDirector · President and CEO
|
GrantNonqualified Stock Option (right to buy) · Derivative | 451,264 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-15-006773 · doc4.xml · derivative · entry 6 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 451,264 Underlying: Common Stock · 451,264 shares Expires 2025-03-02 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Bettinger Walter WDirector · President and CEO
|
Exercise / conversionCommon Stock | 51,182 | $29.77 | $1,523,688.14 |
DisclosureSEC source: 0001225208-15-006773 · doc4.xml · nonDerivative · entry 1 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 696,154.8859 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 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
MARTINETTO JOSEPH REVP and CFO
|
GrantNonqualified Stock Option (right to buy) · Derivative | 105,295 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-15-006774 · doc4.xml · derivative · entry 4 MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,295 Underlying: Common Stock · 105,295 shares Expires 2025-03-02 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
MARTINETTO JOSEPH REVP and CFO
|
Exercise / conversionCommon Stock | 13,493 | $29.77 | $401,686.61 |
DisclosureSEC source: 0001225208-15-006774 · doc4.xml · nonDerivative · entry 1 MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,318 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 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Clark Bernard J.EVP - Advisor Services
|
GrantNonqualified Stock Option (right to buy) · Derivative | 75,211 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-15-006775 · doc4.xml · derivative · entry 5 Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,211 Underlying: Common Stock · 75,211 shares Expires 2025-03-02 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Clark Bernard J.EVP - Advisor Services
|
Exercise / conversionCommon Stock | 11,009 | $29.77 | $327,737.93 |
DisclosureSEC source: 0001225208-15-006775 · doc4.xml · nonDerivative · entry 1 Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 102,101.2555 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 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
McCool James DEVP - Client Solutions
|
GrantNonqualified Stock Option (right to buy) · Derivative | 90,253 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-15-006776 · doc4.xml · derivative · entry 5 McCool James D · CIK 0001389181 · EVP - Client Solutions 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,253 Underlying: Common Stock · 90,253 shares Expires 2025-03-02 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
McCool James DEVP - Client Solutions
|
Exercise / conversionCommon Stock | 13,941 | $29.77 | $415,023.57 |
DisclosureSEC source: 0001225208-15-006776 · doc4.xml · nonDerivative · entry 1 McCool James D · CIK 0001389181 · EVP - Client Solutions 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,329.9918 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 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Kallsen Terri REVP - Investor Services
|
GrantNonqualified Stock Option (right to buy) · Derivative | 75,211 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-15-006777 · doc4.xml · derivative · entry 1 Kallsen Terri R · CIK 0001627137 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,211 Underlying: Common Stock · 75,211 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Mar 4, 2015 21:28 UTC |
Garfield David REVP and General Counsel
|
GrantNonqualified Stock Option (right to buy) · Derivative | 51,144 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-15-006778 · doc4.xml · derivative · entry 1 Garfield David R · CIK 0001621886 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,144 Underlying: Common Stock · 51,144 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 28, 2016 16:55 UTC Amendment |
Garfield David REVP and General Counsel
|
GrantNonqualified Stock Option (right to buy) · Derivative | 51,144 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-024899 · doc4a.xml · derivative · entry 1 Garfield David R · CIK 0001621886 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,144 Underlying: Common Stock · 51,144 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests one-sixth on the first and second anniversary of the grant date and two-thirds on the third anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 28, 2016 17:03 UTC Amendment |
Clark Bernard J.EVP - Advisor Services
|
GrantNonqualified Stock Option (right to buy) · Derivative | 75,211 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-024901 · doc4a.xml · derivative · entry 1 Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,211 Underlying: Common Stock · 75,211 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests one-sixth on the first and second anniversary of the grant date and two thirds on the third anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 28, 2016 16:59 UTC Amendment |
Kallsen Terri REVP - Investor Services
|
GrantNonqualified Stock Option (right to buy) · Derivative | 75,211 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-024900 · doc4a.xml · derivative · entry 1 Kallsen Terri R · CIK 0001627137 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,211 Underlying: Common Stock · 75,211 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests one-sixth on the first and second anniversary of the grant date and two thirds on the third anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 28, 2016 17:05 UTC Amendment |
MARTINETTO JOSEPH RSenior EVP and CFO
|
GrantNonqualified Stock Option (right to buy) · Derivative | 105,295 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-024902 · doc4a.xml · derivative · entry 1 MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,295 Underlying: Common Stock · 105,295 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests one-sixth on the first and second anniversary of the grant date and two thirds on the third anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 28, 2016 17:07 UTC Amendment |
Bettinger Walter WDirector · President and CEO
|
GrantNonqualified Stock Option (right to buy) · Derivative | 451,264 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-024903 · doc4a.xml · derivative · entry 1 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 451,264 Underlying: Common Stock · 451,264 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests one-sixth on the first and second anniversary of the grant date and two thirds on the third anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 28, 2016 17:18 UTC Amendment |
Schwab Charles R.Director · Chairman · 10% owner
|
GrantNonqualified Stock Option (right to buy) · Derivative | 180,506 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-024904 · doc4a.xml · derivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,506 Underlying: Common Stock · 180,506 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests one-sixth on the first and second anniversary of the grant date and two thirds on the third anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 29, 2016 17:54 UTC Amendment |
Garfield David REVP and General Counsel
|
GrantNonqualified Stock Option (right to buy) · Derivative | 51,144 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-025133 · doc4a.xml · derivative · entry 1 Garfield David R · CIK 0001621886 · EVP and General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,144 Underlying: Common Stock · 51,144 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 29, 2016 17:54 UTC Amendment |
Schwab Charles R.Director · Chairman · 10% owner
|
GrantNonqualified Stock Option (right to buy) · Derivative | 180,506 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-025134 · doc4a.xml · derivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,506 Underlying: Common Stock · 180,506 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 29, 2016 17:54 UTC Amendment |
Bettinger Walter WDirector · President and CEO
|
GrantNonqualified Stock Option (right to buy) · Derivative | 451,264 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-025135 · doc4a.xml · derivative · entry 1 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 451,264 Underlying: Common Stock · 451,264 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 29, 2016 17:54 UTC Amendment |
Clark Bernard J.EVP - Advisor Services
|
GrantNonqualified Stock Option (right to buy) · Derivative | 75,211 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-025137 · doc4a.xml · derivative · entry 1 Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,211 Underlying: Common Stock · 75,211 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 29, 2016 17:54 UTC Amendment |
MARTINETTO JOSEPH RSenior EVP and CFO
|
GrantNonqualified Stock Option (right to buy) · Derivative | 105,295 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-025136 · doc4a.xml · derivative · entry 1 MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,295 Underlying: Common Stock · 105,295 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 02, 2015 Filed Jan 29, 2016 17:54 UTC Amendment |
Kallsen Terri REVP - Investor Services
|
GrantNonqualified Stock Option (right to buy) · Derivative | 75,211 | $0.00 Strike: $30.17 | $0.00 |
DisclosureSEC source: 0001225208-16-025138 · doc4a.xml · derivative · entry 1 Kallsen Terri R · CIK 0001627137 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,211 Underlying: Common Stock · 75,211 shares Expires 2025-03-02 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| February 27, 2015 Filed Mar 3, 2015 17:35 UTC |
BUTCHER C PRESTONDirector
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 12,635 | $0.00 Strike: $9.96 | $0.00 |
DisclosureSEC source: 0001225208-15-006422 · doc4.xml · derivative · entry 4 BUTCHER C PRESTON · CIK 0001188402 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,635 shares Expires 2015-04-01 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. Read SEC document |
| February 27, 2015 Filed Mar 3, 2015 17:35 UTC |
BUTCHER C PRESTONDirector
|
Exercise / conversionCommon Stock | 12,635 | $9.96 | $125,879.98 |
DisclosureSEC source: 0001225208-15-006422 · doc4.xml · nonDerivative · entry 1 BUTCHER C PRESTON · CIK 0001188402 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 875,532.438 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. Read SEC document |
| February 10, 2015 Filed Feb 11, 2015 23:47 UTC |
Goldfarb Mark ADirector
|
PurchaseCommon Stock | 2,567 | $29.21 | $74,992.34 |
DisclosureSEC source: 0001225208-15-003609 · doc4.xml · nonDerivative · entry 1 Goldfarb Mark A · CIK 0001562215 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,408 Read SEC document |
| February 06, 2015 Filed Feb 9, 2015 21:57 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 250,000 | $29.17 | $7,292,000.00 |
DisclosureSEC source: 0001225208-15-003227 · doc4.xml · nonDerivative · entry 2 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 111,391,810 F2 · price: This transaction was executed in multiple trades at prices ranging from $28.41 to $29.52. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 05, 2015 Filed Feb 9, 2015 21:57 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 150,000 | $27.97 | $4,196,190.00 |
DisclosureSEC source: 0001225208-15-003227 · doc4.xml · nonDerivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 111,641,810 F1 · price: This transaction was executed in multiple trades at prices ranging from $27.90 to $28.09. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 03, 2015 Filed Feb 4, 2015 21:10 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 722,391 | $27.33 | $19,741,573.49 |
DisclosureSEC source: 0001225208-15-002984 · doc4.xml · nonDerivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 111,791,810 F1 · price: This transaction was executed in multiple trades at prices ranging from $27.00 to $27.6375. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 28, 2015 Filed Jan 28, 2015 22:54 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 400 | $27.00 | $10,800.00 |
DisclosureSEC source: 0001225208-15-002227 · doc4.xml · nonDerivative · entry 3 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 111,953,853 Read SEC document |
| January 27, 2015 Filed Jan 28, 2015 22:54 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 77,209 | $27.00 | $2,084,805.14 |
DisclosureSEC source: 0001225208-15-002227 · doc4.xml · nonDerivative · entry 2 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 111,954,253 F2 · price: This transaction was executed in multiple trades at prices ranging from $27.00 to $27.055. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 26, 2015 Filed Jan 28, 2015 22:54 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 200,000 | $27.31 | $5,462,420.00 |
DisclosureSEC source: 0001225208-15-002227 · doc4.xml · nonDerivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 112,031,462 F1 · price: This transaction was executed in multiple trades at prices ranging from $27.255 to $27.38. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 20:18 UTC |
Ellis Stephen ADirector
|
GrantNonqualified Stock Option (right to buy) · Derivative | 1,997 | $0.00 Strike: $30.22 | $0.00 |
DisclosureSEC source: 0001225208-15-000723 · doc4.xml · derivative · entry 1 Ellis Stephen A · CIK 0001561563 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,997 Underlying: Common Stock · 1,997 shares Expires 2025-01-02 F1 · shares: The option was received pursuant to the Directors' Deferred Compensation Plan II and vests immediately. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 20:18 UTC |
BUTCHER C PRESTONDirector
|
GrantNonqualified Stock Option (right to buy) · Derivative | 3,994 | $0.00 Strike: $30.22 | $0.00 |
DisclosureSEC source: 0001225208-15-000722 · doc4.xml · derivative · entry 1 BUTCHER C PRESTON · CIK 0001188402 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,994 Underlying: Common Stock · 3,994 shares Expires 2025-01-02 F1 · shares: The option was received pursuant to the Directors' Deferred Compensation Plan II and vests immediately. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 20:18 UTC |
MCLIN STEPHEN TDirector
|
GrantNonqualified Stock Option (right to buy) · Derivative | 3,994 | $0.00 Strike: $30.22 | $0.00 |
DisclosureSEC source: 0001225208-15-000724 · doc4.xml · derivative · entry 1 MCLIN STEPHEN T · CIK 0001188403 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,994 Underlying: Common Stock · 3,994 shares Expires 2025-01-02 F1 · shares: The option was received pursuant to the Directors' Deferred Compensation Plan II and vests immediately. Read SEC document |
| January 02, 2015 Filed Jan 6, 2015 20:18 UTC |
HERRINGER FRANK CDirector
|
GrantRestricted Stock Units · Derivative | 993 | $30.22 | $30,008.46 |
DisclosureSEC source: 0001225208-15-000725 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,562.28 Underlying: Common Stock · 993 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of company stock. F2 · shares: The restricted stock units were received pursuant to the Directors' Deferred Compensation Plan II (the "Plan") and are held in a rabbi trust for the benefit of the reporting person pursuant to the terms of the Plan. F3 · derivative.exercise_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors. F3 · derivative.expiration_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors. 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.