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SCHWAB CHARLES CORP

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1218
SEC CIK
0000316709
Parsed reports
2,531

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
MonthPurchasesSales
Nov 202502
Dec 202501
Jan 202609
Feb 2026013
Mar 2026010
Apr 202609
May 202617
Jun 202600
Jul 2026018
Aug 2026018
Sep 202601
Oct 202601

Latest available

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 24,396 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · derivative · entry 13

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,132

Underlying: Common Stock · 24,396 shares

Expires 2020-08-02

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 10,444 $0.00 Strike: $12.45 $0.00
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · derivative · entry 12

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,332

Underlying: Common Stock · 10,444 shares

Expires 2022-08-01

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 18,499 $0.00 Strike: $15.05 $0.00
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · derivative · entry 11

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,499

Underlying: Common Stock · 18,499 shares

Expires 2021-08-01

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 8,264 $0.00 Strike: $13.91 $0.00
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · derivative · entry 10

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,794

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
SaleCommon Stock 88,542 $23.54 $2,084,393.78
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · nonDerivative · entry 8

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 12,466.6945

F2 · price: This transaction was executed in multiple trades at prices ranging from $23.3250 to $23.7908. 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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
SaleCommon Stock 5,000 $23.68 $118,405.00
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · nonDerivative · entry 7

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 101,008.6945

F1 · price: This transaction was executed in multiple trades at prices ranging from $23.6808 to $23.6810. 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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionCommon Stock 8,264 $13.91 $114,952.24
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · nonDerivative · entry 6

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 106,008.6945

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionCommon Stock 10,367 $11.75 $121,812.25
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · nonDerivative · entry 5

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 97,744.6945

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionCommon Stock 10,444 $12.45 $130,027.80
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · nonDerivative · entry 4

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 87,377.6945

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionCommon Stock 16,572 $15.43 $255,705.96
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · nonDerivative · entry 3

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 76,933.6945

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionCommon Stock 18,499 $15.05 $278,409.95
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · nonDerivative · entry 2

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 60,361.6945

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
October 16, 2013 Filed Oct 18, 2013 15:03 UTC
Allen Jay LEVP - Human Resources
Exercise / conversionCommon Stock 24,396 $15.00 $365,940.00
Disclosure

SEC source: 0001225208-13-022028 · doc4.xml · nonDerivative · entry 1

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 41,862.6945

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
October 15, 2013 Filed Oct 16, 2013 18:33 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 61,229 $0.00 Strike: $19.36 $0.00
Disclosure

SEC source: 0001225208-13-021901 · doc4.xml · derivative · entry 10

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 61,229 shares

Expires 2018-11-03

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
October 15, 2013 Filed Oct 16, 2013 18:33 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 17,172 $0.00 Strike: $18.66 $0.00
Disclosure

SEC source: 0001225208-13-021901 · doc4.xml · derivative · entry 9

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,594

Underlying: Common Stock · 17,172 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
October 15, 2013 Filed Oct 16, 2013 18:33 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 17,557 $0.00 Strike: $18.25 $0.00
Disclosure

SEC source: 0001225208-13-021901 · doc4.xml · derivative · entry 8

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,608

Underlying: Common Stock · 17,557 shares

Expires 2020-03-01

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
October 15, 2013 Filed Oct 16, 2013 18:33 UTC
Dwyer Carrie EEVP and General Counsel
SaleCommon Stock 95,958 $23.33 $2,238,460.25
Disclosure

SEC source: 0001225208-13-021901 · doc4.xml · nonDerivative · entry 4

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 90,067

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 May 30, 2013.

F2 · price: This transaction was executed in multiple trades at prices ranging from $22.89 to $23.72. 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
October 15, 2013 Filed Oct 16, 2013 18:33 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionCommon Stock 17,172 $18.66 $320,429.52
Disclosure

SEC source: 0001225208-13-021901 · doc4.xml · nonDerivative · entry 3

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 186,025

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
October 15, 2013 Filed Oct 16, 2013 18:33 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionCommon Stock 17,557 $18.25 $320,415.25
Disclosure

SEC source: 0001225208-13-021901 · doc4.xml · nonDerivative · entry 2

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 168,853

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
October 15, 2013 Filed Oct 16, 2013 18:33 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionCommon Stock 61,229 $19.36 $1,185,393.44
Disclosure

SEC source: 0001225208-13-021901 · doc4.xml · nonDerivative · entry 1

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 151,296

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
October 01, 2013 Filed Oct 3, 2013 15:48 UTC GrantRestricted Stock Units · Derivative 1,404 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-021360 · doc4.xml · derivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,040

Underlying: Common Stock · 1,404 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 fully vested, 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 fully vested, 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
October 01, 2013 Filed Oct 3, 2013 15:48 UTC GrantRestricted Stock Units · Derivative 1,287 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-021361 · doc4.xml · derivative · entry 1

Ellis Stephen A · CIK 0001561563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,010.84

Underlying: Common Stock · 1,287 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 fully vested, 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 fully vested, 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
October 01, 2013 Filed Oct 3, 2013 15:48 UTC GrantNonqualified Stock Option (right to buy) · Derivative 5,602 $0.00 Strike: $21.38 $0.00
Disclosure

SEC source: 0001225208-13-021362 · doc4.xml · derivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,602

Underlying: Common Stock · 5,602 shares

Expires 2023-10-01

F1 · shares: The option was received pursuant to the Directors' Deferred Compensation Plan II and vests immediately.

Read SEC document
October 01, 2013 Filed Oct 3, 2013 15:48 UTC GrantRestricted Stock Units · Derivative 673 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-021363 · doc4.xml · derivative · entry 1

WILSON ROBERT N · CIK 0001189022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,585.6

Underlying: Common Stock · 673 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 fully vested, 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 fully vested, 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
October 01, 2013 Filed Oct 3, 2013 15:48 UTC GrantNonqualified Stock Option (right to buy) · Derivative 6,285 $0.00 Strike: $21.38 $0.00
Disclosure

SEC source: 0001225208-13-021364 · doc4.xml · derivative · entry 1

MCLIN STEPHEN T · CIK 0001188403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,285

Underlying: Common Stock · 6,285 shares

Expires 2023-10-01

F1 · shares: The option was received pursuant to the Directors' Deferred Compensation Plan II and vests immediately.

Read SEC document
September 04, 2013 Filed Sep 5, 2013 16:00 UTC Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 2,682 $0.00 Strike: $12.67 $0.00
Disclosure

SEC source: 0001225208-13-019142 · doc4.xml · derivative · entry 6

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,682 shares

Expires 2013-10-07

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
September 04, 2013 Filed Sep 5, 2013 16:00 UTC Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 4,608 $0.00 Strike: $11.49 $0.00
Disclosure

SEC source: 0001225208-13-019142 · 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 · 4,608 shares

Expires 2014-01-05

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
September 04, 2013 Filed Sep 5, 2013 16:00 UTC Exercise / conversionCommon Stock 2,682 $12.67 $33,982.01
Disclosure

SEC source: 0001225208-13-019142 · doc4.xml · nonDerivative · entry 2

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 978,615.428

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 · balance_after: Includes 6,750 shares held by the reporting person that were inadvertently omitted from his trust holdings.

Read SEC document
September 04, 2013 Filed Sep 5, 2013 16:00 UTC Exercise / conversionCommon Stock 4,608 $11.49 $52,937.63
Disclosure

SEC source: 0001225208-13-019142 · doc4.xml · nonDerivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 975,933.428

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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 19,352 $0.00 Strike: $11.75 $0.00
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · derivative · entry 13

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,058

Underlying: Common Stock · 19,352 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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 15,467 $0.00 Strike: $15.43 $0.00
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · derivative · entry 12

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,402

Underlying: Common Stock · 15,467 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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 19,582 $0.00 Strike: $12.45 $0.00
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · derivative · entry 11

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,747

Underlying: Common Stock · 19,582 shares

Expires 2022-08-01

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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 17,266 $0.00 Strike: $15.05 $0.00
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · derivative · entry 10

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,797

Underlying: Common Stock · 17,266 shares

Expires 2021-08-01

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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 15,496 $0.00 Strike: $13.91 $0.00
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · derivative · entry 9

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,488

Underlying: Common Stock · 15,496 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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
SaleCommon Stock 87,163 $22.32 $1,945,164.37
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · nonDerivative · entry 6

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,431.3761

F1 · price: This transaction was executed in multiple trades at prices ranging from $22.19 to $22.37. 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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionCommon Stock 15,467 $15.43 $238,655.81
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · nonDerivative · entry 5

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,594.3761

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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionCommon Stock 15,496 $13.91 $215,549.36
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · nonDerivative · entry 4

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,127.3761

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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionCommon Stock 17,266 $15.05 $259,853.30
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · nonDerivative · entry 3

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,631.3761

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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionCommon Stock 19,352 $11.75 $227,386.00
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · nonDerivative · entry 2

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,365.3761

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
August 13, 2013 Filed Aug 15, 2013 16:02 UTC
McCool James DEVP - Client Solutions
Exercise / conversionCommon Stock 19,582 $12.45 $243,795.90
Disclosure

SEC source: 0001225208-13-017867 · doc4.xml · nonDerivative · entry 1

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,013.3761

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
August 07, 2013 Filed Aug 8, 2013 21:10 UTC
Allen Jay LEVP - Human Resources
SaleCommon Stock 13,500 $22.12 $298,618.65
Disclosure

SEC source: 0001225208-13-017535 · doc4.xml · nonDerivative · entry 1

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 17,466.6945

F1 · price: This transaction was executed in multiple trades at prices ranging from $22.11 to $22.13. 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.

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August 02, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 8,885 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · derivative · entry 13

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,375

Underlying: Common Stock · 8,885 shares

Expires 2020-08-02

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.

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August 02, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
SaleCommon Stock 8,885 $22.60 $200,801.00
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · nonDerivative · entry 6

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 90,067

F3 · price: This transaction was executed in multiple trades at prices ranging from $22.44 to $22.74. 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.

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August 02, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionCommon Stock 8,885 $15.00 $133,275.00
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · nonDerivative · entry 5

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 98,952

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
August 02, 2013 Filed Aug 5, 2013 20:14 UTC
Clark Bernard J.EVP - Advisor Services
GrantCommon Stock 873 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-017283 · 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: 74,698.8215

F1 · shares: Shares acquired on the vesting of restricted stock units.

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August 01, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
GrantNonqualified Stock Option (right to buy) · Derivative 25,880 $0.00 Strike: $22.67 $0.00
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · derivative · entry 12

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,880

Underlying: Common Stock · 25,880 shares

Expires 2023-08-01

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.

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August 01, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 13,055 $0.00 Strike: $12.45 $0.00
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · derivative · entry 11

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,165

Underlying: Common Stock · 13,055 shares

Expires 2022-08-01

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
August 01, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionNonqualified Stock Option (right to buy) · Derivative 12,076 $0.00 Strike: $15.05 $0.00
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · derivative · entry 10

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,367

Underlying: Common Stock · 12,076 shares

Expires 2021-08-01

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
August 01, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
SaleCommon Stock 13,055 $22.68 $296,069.12
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · nonDerivative · entry 4

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 90,067

F2 · price: This transaction was executed in multiple trades at prices ranging from $22.30 to $22.78. 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.

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August 01, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
SaleCommon Stock 12,076 $22.69 $273,974.25
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · nonDerivative · entry 3

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 103,122

F1 · price: This transaction was executed in multiple trades at prices ranging from $22.26 to $22.78. 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.

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August 01, 2013 Filed Aug 5, 2013 20:14 UTC
Dwyer Carrie EEVP and General Counsel
Exercise / conversionCommon Stock 12,076 $15.05 $181,743.80
Disclosure

SEC source: 0001225208-13-017282 · doc4.xml · nonDerivative · entry 2

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 115,198

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

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.