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 |
|---|---|---|---|---|---|---|
| January 02, 2015 Filed Jan 6, 2015 20:18 UTC |
MARTINETTO JOSEPH REVP and CFO
|
Tax withholdingCommon Stock | 577 | $30.19 | $17,419.63 |
DisclosureSEC source: 0001225208-15-000726 · doc4.xml · nonDerivative · entry 1 MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,825 Read SEC document |
| December 11, 2014 Filed Dec 15, 2014 17:51 UTC |
DODDS CHRISTOPHER VDirector
|
GrantNonqualified Stock Option (right to buy) · Derivative | 1,446 | $0.00 Strike: $29.68 | $0.00 |
DisclosureSEC source: 0001225208-14-025018 · doc4.xml · derivative · entry 3 DODDS CHRISTOPHER V · CIK 0001186004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,446 Underlying: Common Stock · 1,446 shares Expires 2024-12-11 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date. Read SEC document |
| December 11, 2014 Filed Dec 15, 2014 17:51 UTC |
DODDS CHRISTOPHER VDirector
|
GrantCommon Stock | 391 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-025018 · doc4.xml · nonDerivative · entry 1 DODDS CHRISTOPHER V · CIK 0001186004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,584 F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date. Read SEC document |
| December 05, 2014 Filed Dec 9, 2014 17:16 UTC |
Bettinger Walter WDirector · President and CEO
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 759,220 | $0.00 Strike: $24.37 | $0.00 |
DisclosureSEC source: 0001225208-14-024556 · doc4.xml · derivative · entry 6 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 759,220 shares Expires 2015-10-01 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 |
| December 05, 2014 Filed Dec 9, 2014 17:16 UTC |
Bettinger Walter WDirector · President and CEO
|
SaleCommon Stock | 759,220 | $30.01 | $22,786,318.02 |
DisclosureSEC source: 0001225208-14-024556 · doc4.xml · nonDerivative · entry 2 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,972.8859 F1 · 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. F2 · price: This transaction was executed in multiple trades at prices ranging from $29.90 to $30.21. 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 |
| December 05, 2014 Filed Dec 9, 2014 17:16 UTC |
Bettinger Walter WDirector · President and CEO
|
Exercise / conversionCommon Stock | 759,220 | $24.37 | $18,502,191.40 |
DisclosureSEC source: 0001225208-14-024556 · doc4.xml · nonDerivative · entry 1 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,404,192.8859 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. Read SEC document |
| December 02, 2014 Filed Dec 4, 2014 17:15 UTC |
BUTCHER C PRESTONDirector
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 6,374 | $0.00 Strike: $11.12 | $0.00 |
DisclosureSEC source: 0001225208-14-024382 · doc4.xml · derivative · entry 5 BUTCHER C PRESTON · CIK 0001188402 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,374 shares Expires 2015-01-03 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 |
| December 02, 2014 Filed Dec 4, 2014 17:15 UTC |
BUTCHER C PRESTONDirector
|
GiftCommon Stock | 36,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-024382 · doc4.xml · nonDerivative · entry 2 BUTCHER C PRESTON · CIK 0001188402 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 862,872.636 Read SEC document |
| December 02, 2014 Filed Dec 4, 2014 17:15 UTC |
BUTCHER C PRESTONDirector
|
Exercise / conversionCommon Stock | 6,374 | $11.12 | $70,855.93 |
DisclosureSEC source: 0001225208-14-024382 · doc4.xml · nonDerivative · entry 1 BUTCHER C PRESTON · CIK 0001188402 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 899,372.636 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 |
| November 20, 2014 Filed Nov 20, 2014 22:34 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 375,000 | $28.35 | $10,630,275.00 |
DisclosureSEC source: 0001225208-14-023647 · doc4.xml · nonDerivative · entry 3 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 34,637,941 F3 · price: This transaction was executed in multiple trades at prices ranging from $28.06 to $28.48. 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 |
| November 19, 2014 Filed Nov 20, 2014 22:34 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
GiftCommon Stock | 1,085,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-023647 · doc4.xml · nonDerivative · entry 4 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 112,231,462 Read SEC document |
| November 19, 2014 Filed Nov 20, 2014 22:34 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 375,000 | $28.47 | $10,675,012.50 |
DisclosureSEC source: 0001225208-14-023647 · doc4.xml · nonDerivative · entry 2 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 35,012,941 F2 · price: This transaction was executed in multiple trades at prices ranging from $28.28 to $28.71. 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 |
| November 18, 2014 Filed Nov 20, 2014 22:34 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 250,000 | $28.81 | $7,203,250.00 |
DisclosureSEC source: 0001225208-14-023647 · doc4.xml · nonDerivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 35,387,941 F1 · price: This transaction was executed in multiple trades at prices ranging from $28.705 to $28.89. 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 |
| November 17, 2014 Filed Nov 18, 2014 16:22 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 250,000 | $28.57 | $7,143,350.00 |
DisclosureSEC source: 0001225208-14-023464 · doc4.xml · nonDerivative · entry 2 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 35,637,941 F2 · price: This transaction was executed in multiple trades at prices ranging from $28.44 to $28.81. 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 |
| November 14, 2014 Filed Nov 18, 2014 16:22 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 250,000 | $28.89 | $7,223,200.00 |
DisclosureSEC source: 0001225208-14-023464 · doc4.xml · nonDerivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 35,887,941 F1 · price: This transaction was executed in multiple trades at prices ranging from $28.815 to $28.99. 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 |
| November 12, 2014 Filed Nov 12, 2014 22:04 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 200,000 | $28.85 | $5,769,820.00 |
DisclosureSEC source: 0001225208-14-023205 · doc4.xml · nonDerivative · entry 3 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 36,137,941 F3 · price: This transaction was executed in multiple trades at prices ranging from $28.67 to $28.95. 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 |
| November 11, 2014 Filed Nov 12, 2014 22:04 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 200,000 | $28.98 | $5,795,340.00 |
DisclosureSEC source: 0001225208-14-023205 · doc4.xml · nonDerivative · entry 2 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 36,337,941 F2 · price: This transaction was executed in multiple trades at prices ranging from $28.85 to $29.14. 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 |
| November 10, 2014 Filed Nov 12, 2014 22:04 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
GiftCommon Stock | 17,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-023205 · doc4.xml · nonDerivative · entry 4 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 113,316,462 Read SEC document |
| November 10, 2014 Filed Nov 12, 2014 22:04 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 100,000 | $28.86 | $2,886,440.00 |
DisclosureSEC source: 0001225208-14-023205 · doc4.xml · nonDerivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 36,537,941 F1 · price: This transaction was executed in multiple trades at prices ranging from $28.72 to $28.95. 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 |
| November 06, 2014 Filed Nov 7, 2014 21:30 UTC |
Allen Jay LEVP and Chief Admin Officer
|
SaleCommon Stock | 2,267 | $28.69 | $65,038.87 |
DisclosureSEC source: 0001225208-14-022948 · 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: 5,653.5645 F1 · 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 7, 2013. F3 · price: This transaction was executed in multiple trades at prices ranging from $28.53 to $28.80. 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 |
| November 06, 2014 Filed Nov 7, 2014 21:30 UTC |
Allen Jay LEVP and Chief Admin Officer
|
SaleCommon Stock | 1,742 | $28.70 | $49,988.08 |
DisclosureSEC source: 0001225208-14-022948 · 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: 7,920.5645 F1 · 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 7, 2013. F2 · price: This transaction was executed in multiple trades at prices ranging from $28.58 to $28.80. 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 |
| November 06, 2014 Filed Nov 7, 2014 21:31 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 150,000 | $28.84 | $4,326,690.00 |
DisclosureSEC source: 0001225208-14-022949 · 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: 113,333,962 F2 · price: This transaction was executed in multiple trades at prices ranging from $28.51 to $29.07. 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 |
| November 05, 2014 Filed Nov 7, 2014 21:30 UTC |
Clark Bernard J.EVP - Advisor Services
|
SaleCommon Stock | 4,248 | $28.71 | $121,960.08 |
DisclosureSEC source: 0001225208-14-022947 · 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: 89,805.7247 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 7, 2014. Read SEC document |
| November 05, 2014 Filed Nov 7, 2014 21:31 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 100,000 | $28.71 | $2,871,020.00 |
DisclosureSEC source: 0001225208-14-022949 · 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: 113,483,962 F1 · price: This transaction was executed in multiple trades at prices ranging from $28.645 to $28.79. 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 |
| November 04, 2014 Filed Nov 5, 2014 21:05 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 250,000 | $28.49 | $7,123,350.00 |
DisclosureSEC source: 0001225208-14-022805 · doc4.xml · nonDerivative · entry 3 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 36,637,941 F3 · price: This transaction was executed in multiple trades at prices ranging from $28.23 to $28.62. 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
GrantNonqualified Stock Option (right to buy) · Derivative | 62,345 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022805 · doc4.xml · derivative · entry 7 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,345 Underlying: Common Stock · 62,345 shares Expires 2024-11-10 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
SaleCommon Stock | 250,000 | $28.42 | $7,105,850.00 |
DisclosureSEC source: 0001225208-14-022805 · doc4.xml · nonDerivative · entry 2 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · by Limited Partnership Disclosed balance after: 36,887,941 F2 · price: This transaction was executed in multiple trades at prices ranging from $28.345 to $28.635. 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Schwab Charles R.Director · Chairman · 10% owner
|
Exercise / conversionCommon Stock | 16,032 | $28.59 | $458,354.88 |
DisclosureSEC source: 0001225208-14-022805 · doc4.xml · nonDerivative · entry 1 SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 675,480 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
GrantNonqualified Stock Option (right to buy) · Derivative | 20,782 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022806 · 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: 20,782 Underlying: Common Stock · 20,782 shares Expires 2024-11-03 F6 · 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $13.64 | $0.00 |
DisclosureSEC source: 0001225208-14-022806 · 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: 20,000 Underlying: Common Stock · 10,000 shares Expires 2022-11-01 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 10,367 | $0.00 Strike: $11.75 | $0.00 |
DisclosureSEC source: 0001225208-14-022806 · 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: 10,368 Underlying: Common Stock · 10,367 shares Expires 2021-11-01 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 8,286 | $0.00 Strike: $15.43 | $0.00 |
DisclosureSEC source: 0001225208-14-022806 · doc4.xml · derivative · entry 9 Allen Jay L · CIK 0001416062 · EVP and Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,286 shares Expires 2020-11-01 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
SaleCommon Stock | 10,367 | $28.58 | $296,307.52 |
DisclosureSEC source: 0001225208-14-022806 · 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: 9,662.5645 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 7, 2013. F5 · price: This transaction was executed in multiple trades at prices ranging from $28.353 to $28.79. 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
SaleCommon Stock | 10,000 | $28.58 | $285,803.00 |
DisclosureSEC source: 0001225208-14-022806 · 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: 20,029.5645 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 7, 2013. F4 · price: This transaction was executed in multiple trades at prices ranging from $28.353 to $28.77. 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
SaleCommon Stock | 8,286 | $28.64 | $237,311.87 |
DisclosureSEC source: 0001225208-14-022806 · 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: 30,029.5645 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 7, 2013. F3 · price: This transaction was executed in multiple trades at prices ranging from $28.54 to $28.77. 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionCommon Stock | 4,009 | $28.59 | $114,617.31 |
DisclosureSEC source: 0001225208-14-022806 · 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: 38,315.5645 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionCommon Stock | 8,286 | $15.43 | $127,852.98 |
DisclosureSEC source: 0001225208-14-022806 · 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: 34,306.5645 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionCommon Stock | 10,000 | $13.64 | $136,400.00 |
DisclosureSEC source: 0001225208-14-022806 · 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: 26,020.5645 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 |
| November 03, 2014 Filed Nov 5, 2014 21:05 UTC |
Allen Jay LEVP and Chief Admin Officer
|
Exercise / conversionCommon Stock | 10,367 | $11.75 | $121,812.25 |
DisclosureSEC source: 0001225208-14-022806 · 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: 16,020.5645 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
Bettinger Walter WDirector · President and CEO
|
GrantNonqualified Stock Option (right to buy) · Derivative | 135,080 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022807 · doc4.xml · derivative · entry 5 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,080 Underlying: Common Stock · 135,080 shares Expires 2024-11-03 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
Bettinger Walter WDirector · President and CEO
|
Exercise / conversionCommon Stock | 34,734 | $28.59 | $993,045.06 |
DisclosureSEC source: 0001225208-14-022807 · doc4.xml · nonDerivative · entry 1 Bettinger Walter W · CIK 0001296479 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,972.8859 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
Clark Bernard J.EVP - Advisor Services
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GrantNonqualified Stock Option (right to buy) · Derivative | 25,977 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022808 · doc4.xml · derivative · entry 5 Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,977 Underlying: Common Stock · 25,977 shares Expires 2024-11-03 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
Clark Bernard J.EVP - Advisor Services
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Exercise / conversionCommon Stock | 4,248 | $28.59 | $121,450.32 |
DisclosureSEC source: 0001225208-14-022808 · 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: 94,053.7247 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
Clendening John SEVP - Investor Services
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GrantNonqualified Stock Option (right to buy) · Derivative | 31,173 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022809 · doc4.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,173 Underlying: Common Stock · 31,173 shares Expires 2024-11-03 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
Clendening John SEVP - Investor Services
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Exercise / conversionCommon Stock | 6,332 | $28.59 | $181,031.88 |
DisclosureSEC source: 0001225208-14-022809 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 76,197 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
Gill George A.EVP - Investor Services
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GrantNonqualified Stock Option (right to buy) · Derivative | 31,173 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022810 · doc4.xml · derivative · entry 4 Gill George A. · CIK 0001545058 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,173 Underlying: Common Stock · 31,173 shares Expires 2024-11-03 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
Gill George A.EVP - Investor Services
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Exercise / conversionCommon Stock | 1,380 | $28.59 | $39,454.20 |
DisclosureSEC source: 0001225208-14-022810 · doc4.xml · nonDerivative · entry 1 Gill George A. · CIK 0001545058 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,995 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
MARTINETTO JOSEPH REVP and CFO
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GrantNonqualified Stock Option (right to buy) · Derivative | 31,173 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022811 · doc4.xml · derivative · entry 3 MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,173 Underlying: Common Stock · 31,173 shares Expires 2024-11-03 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
MARTINETTO JOSEPH REVP and CFO
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Exercise / conversionCommon Stock | 6,715 | $28.59 | $191,981.85 |
DisclosureSEC source: 0001225208-14-022811 · doc4.xml · nonDerivative · entry 1 MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,402 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 |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC |
McCool James DEVP - Client Solutions
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GrantNonqualified Stock Option (right to buy) · Derivative | 31,173 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022812 · doc4.xml · derivative · entry 4 McCool James D · CIK 0001389181 · EVP - Client Solutions 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,173 Underlying: Common Stock · 31,173 shares Expires 2024-11-03 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.