Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMGEN INCAMGN · Entity 2832 | Director | May 03, 2019 | May 07, 2019 |
| SCHWAB CHARLES CORPSCHW · Entity 1218 | Director | October 01, 2026 | October 06, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AMGEN INC
Report date May 03, 2019 · Filed May 07, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 35,522 |
Reported balance
After 2019-05-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-05-03 · Grant · Acquired 1,127 · Balance 35,522 F1: The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Director Incentive Program, as amended, under the Amgen Inc. 2009 Amended and Restated Equity Incentive Plan (the Director Program) and vested immediately. Vested RSUs are paid in shares of the Company's common stock on a one-to-one basis. Vested RSUs may be deferred by the director, in which case, payment will occur according to the elected deferral schedule. F2: These shares include 3,136 Dividend Equivalents (DEs) granted pursuant to the Director Program and subject to a qualifying dividend reinvestment plan. DEs are credited on the director's vested but deferred RSUs and are paid out in shares of the Company's Common Stock on a one-to-one basis along with a cash payment for any remaining fractional share amount. |
| Common StockSEC Table I · non-derivative | IndirectFrank C & Maryellen C Herringer 1995 Family Trust | 6,152 |
Reported balance
Holding disclosure · report date 2019-05-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,152 |
| Common StockSEC Table I · non-derivative | IndirectFrank C. Herringer 1995 Family Trust | 7,000 |
Reported balance
Holding disclosure · report date 2019-05-03 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 7,000 |
| Common StockSEC Table I · non-derivative | IndirectThe Julia Herringer 2012 Trust | 2,000 |
Reported balance
Holding disclosure · report date 2019-05-03 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 2,000 |
| Common StockSEC Table I · non-derivative | IndirectThe Sarah Herringer 2012 Trust | 2,000 |
Reported balance
Holding disclosure · report date 2019-05-03 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 2,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Director Incentive Program, as amended, under the Amgen Inc. 2009 Amended and Restated Equity Incentive Plan (the Director Program) and vested immediately. Vested RSUs are paid in shares of the Company's common stock on a one-to-one basis. Vested RSUs may be deferred by the director, in which case, payment will occur according to the elected deferral schedule.
F2: These shares include 3,136 Dividend Equivalents (DEs) granted pursuant to the Director Program and subject to a qualifying dividend reinvestment plan. DEs are credited on the director's vested but deferred RSUs and are paid out in shares of the Company's Common Stock on a one-to-one basis along with a cash payment for any remaining fractional share amount.
SCHWAB CHARLES CORP
Report date October 01, 2026 · Filed October 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 153,636.78 |
Reported balance
After 2026-10-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-10-01 · Grant · Acquired 445 · Balance 153,636.78 F1: Each restricted stock unit ("RSU") represents a right to receive one share of company stock. F2: The RSUs 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. F4: The RSUs were received in lieu of cash compensation otherwise payable as director fees. F3: The RSUs 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. F5: Includes 440.52 RSUs acquired through dividend reinvestment. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a right to receive one share of company stock.
F2: The RSUs 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: The RSUs 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.
F4: The RSUs were received in lieu of cash compensation otherwise payable as director fees.
F5: Includes 440.52 RSUs acquired through dividend reinvestment.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 06, 2013 Filed May 7, 2013 17:10 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 2,783 | $17.55 | $48,841.65 |
DisclosureSEC source: 0001225208-13-011495 · doc4.xml · nonDerivative · entry 2 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 88,005 Read SEC document |
| May 06, 2013 Filed May 7, 2013 17:10 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 5,244 | $9.31 | $48,845.24 |
DisclosureSEC source: 0001225208-13-011495 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 90,788 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 |
| April 26, 2013 Filed Apr 30, 2013 21:57 UTC | AMGEN INC AMGN · Entity 2832 | GrantCommon Stock | 1,845 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-13-014801 · form4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,171 F1 · shares: The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Director Incentive Program, as amended, under the Amgen Inc. 2009 Equity Incentive Plan (the Director Program) and vested immediately. Vested RSUs are paid in shares of the Company's common stock on a one-to-one basis. Vested RSUs may be deferred by the director, in which case, payment will occur according to the elected deferral schedule. F2 · balance_after: These shares include 398 Dividend Equivalents (DEs) granted pursuant to the Director Program and subject to a qualifying dividend reinvestment plan. DEs are credited on the director's vested but deferred RSUs and are paid out in shares of the Company's common stock on a one-to-one basis along with a cash payment for any remaining fractional share amount. Read SEC document |
| April 01, 2013 Filed Apr 3, 2013 15:59 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 1,727 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-009344 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,507.98 Underlying: Common Stock · 1,727 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 |
| February 26, 2013 Filed Feb 26, 2013 23:20 UTC | AMGEN INC AMGN · Entity 2832 | Exercise / conversionNqso (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $74.89 | $0.00 |
DisclosureSEC source: 0001127602-13-008113 · form4.xml · derivative · entry 8 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2013-03-15 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 26, 2013 Filed Feb 26, 2013 23:20 UTC | AMGEN INC AMGN · Entity 2832 | GiftCommon Stock | 818 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-13-008113 · form4.xml · nonDerivative · entry 4 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Frank C & Maryellen C Herringer 1995 Family Trust Disclosed balance after: 3,639 F1 · kind: These shares are being transferred to the reporting person's Family Trust. Read SEC document |
| February 26, 2013 Filed Feb 26, 2013 23:20 UTC | AMGEN INC AMGN · Entity 2832 | GiftCommon Stock | 818 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-13-008113 · form4.xml · nonDerivative · entry 3 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,262 F1 · kind: These shares are being transferred to the reporting person's Family Trust. F2 · balance_after: These shares include 334 Dividend Equivalents (DEs) granted pursuant to the Amgen Inc. 2009 Director Incentive Program, as amended, under the Amgen Inc. 2009 Equity Incentive Plan and subject to a qualifying dividend reinvestment plan. DEs are credited on the director's vested but deferred Restricted Stock Units and are paid out in shares of the Company's common stock on a one-to-one basis along with a cash payment for any remaining fractional share amount. Read SEC document |
| February 26, 2013 Filed Feb 26, 2013 23:20 UTC | AMGEN INC AMGN · Entity 2832 | Tax withholdingCommon Stock | 4,182 | $89.55 | $374,498.10 |
DisclosureSEC source: 0001127602-13-008113 · form4.xml · nonDerivative · entry 2 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,080 Read SEC document |
| February 26, 2013 Filed Feb 26, 2013 23:20 UTC | AMGEN INC AMGN · Entity 2832 | Exercise / conversionCommon Stock | 5,000 | $74.89 | $374,450.00 |
DisclosureSEC source: 0001127602-13-008113 · form4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,262 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 |
| January 02, 2013 Filed Jan 4, 2013 16:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 1,990 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-000721 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,447.55 Underlying: Common Stock · 1,990 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 |
| December 04, 2012 Filed Dec 6, 2012 17:16 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 2,680 | $0.00 Strike: $11.71 | $0.00 |
DisclosureSEC source: 0001225208-12-024681 · doc4.xml · derivative · entry 5 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,680 shares Expires 2013-01-06 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 04, 2012 Filed Dec 6, 2012 17:16 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 2,423 | $12.95 | $31,365.74 |
DisclosureSEC source: 0001225208-12-024681 · doc4.xml · nonDerivative · entry 2 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 85,544 Read SEC document |
| December 04, 2012 Filed Dec 6, 2012 17:16 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 2,680 | $11.71 | $31,376.10 |
DisclosureSEC source: 0001225208-12-024681 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 87,967 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, 2012 Filed Oct 3, 2012 15:33 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 1,941 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-020786 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,046.64 Underlying: Common Stock · 1,941 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 |
| August 31, 2012 Filed Sep 4, 2012 22:02 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 3,542 | $0.00 Strike: $8.56 | $0.00 |
DisclosureSEC source: 0001225208-12-018907 · doc4.xml · derivative · entry 5 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,542 shares Expires 2012-10-01 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 |
| August 31, 2012 Filed Sep 4, 2012 22:02 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 2,251 | $13.47 | $30,320.97 |
DisclosureSEC source: 0001225208-12-018907 · doc4.xml · nonDerivative · entry 2 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 85,287 Read SEC document |
| August 31, 2012 Filed Sep 4, 2012 22:02 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 3,542 | $8.56 | $30,324.48 |
DisclosureSEC source: 0001225208-12-018907 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 87,538 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 |
| July 02, 2012 Filed Jul 5, 2012 15:39 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 1,934 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-015908 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,715.81 Underlying: Common Stock · 1,934 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 |
| June 11, 2012 Filed Jun 13, 2012 18:24 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 2,181 | $0.00 Strike: $10.49 | $0.00 |
DisclosureSEC source: 0001225208-12-014294 · doc4.xml · derivative · entry 5 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,181 shares Expires 2012-07-01 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 |
| June 11, 2012 Filed Jun 13, 2012 18:24 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 1,855 | $12.33 | $22,872.15 |
DisclosureSEC source: 0001225208-12-014294 · doc4.xml · nonDerivative · entry 2 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 83,996 Read SEC document |
| June 11, 2012 Filed Jun 13, 2012 18:24 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 2,181 | $10.49 | $22,872.58 |
DisclosureSEC source: 0001225208-12-014294 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 85,851 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 |
| May 21, 2012 Filed May 23, 2012 18:27 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 16,491 | $0.00 Strike: $12.66 | $0.00 |
DisclosureSEC source: 0001225208-12-013020 · doc4.xml · derivative · entry 4 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,491 Underlying: Common Stock · 16,491 shares Expires 2022-05-21 F2 · derivative.exercise_date: The option was granted under the company's 2004 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 |
| May 21, 2012 Filed May 23, 2012 18:27 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 5,003 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-013020 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,546 F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2004 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 |
| April 27, 2012 Filed May 1, 2012 23:48 UTC | AMGEN INC AMGN · Entity 2832 | GrantNqso (Right to Buy) · Derivative | 5,000 | $71.64 Strike: $71.64 | $358,200.00 |
DisclosureSEC source: 0001127602-12-015225 · form4.xml · derivative · entry 6 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2022-04-27 Read SEC document |
| April 27, 2012 Filed May 1, 2012 23:48 UTC | AMGEN INC AMGN · Entity 2832 | GrantCommon Stock | 1,395 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-12-015225 · form4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,093 F1 · shares: The Restricted Stock Units ("RSUs") were granted pursuant to the Amgen Inc. 2009 Director Incentive Program, as amended, under the Amgen Inc. 2009 Equity Incentive Plan (the "Director Program") and vested immediately because the director has three years or more of prior continuous service as a director. Vested RSUs are paid in shares of the Company's common stock on a one-to-one basis. Vested RSUs may be deferred by the director, in which case, payment will occur according to the elected deferral schedule. F2 · balance_after: These shares include 165 Dividend Equivalents ("DEs") granted pursuant to the Director Program. The acquisition of DEs had previously been reported in Table II of the director's Form 4 filings prior to the Company implementing a qualifying dividend reinvestment plan in 2012. DEs are credited on the director's unvested, and vested but deferred, RSUs and are paid out in shares of the Company's common stock on a one-to-one basis along with a cash payment for any remaining fractional share amount. Read SEC document |
| April 02, 2012 Filed Apr 4, 2012 15:08 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 1,719 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-009240 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,293.87 Underlying: Common Stock · 1,719 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 |
| March 30, 2012 Filed Apr 3, 2012 15:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 12,907 | $0.00 Strike: $11.62 | $0.00 |
DisclosureSEC source: 0001225208-12-008807 · doc4.xml · derivative · entry 7 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,907 shares Expires 2012-05-15 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 30, 2012 Filed Apr 3, 2012 15:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 2,772 | $0.00 Strike: $11.71 | $0.00 |
DisclosureSEC source: 0001225208-12-008807 · doc4.xml · derivative · entry 6 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,772 shares Expires 2012-04-09 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 30, 2012 Filed Apr 3, 2012 15:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 12,696 | $14.37 | $182,441.52 |
DisclosureSEC source: 0001225208-12-008807 · doc4.xml · nonDerivative · entry 3 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 80,093 Read SEC document |
| March 30, 2012 Filed Apr 3, 2012 15:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 2,772 | $11.71 | $32,453.19 |
DisclosureSEC source: 0001225208-12-008807 · doc4.xml · nonDerivative · entry 2 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 92,789 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 30, 2012 Filed Apr 3, 2012 15:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 12,907 | $11.62 | $150,001.28 |
DisclosureSEC source: 0001225208-12-008807 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 90,017 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 17, 2012 Filed Feb 22, 2012 00:57 UTC | AMGEN INC AMGN · Entity 2832 | Exercise / conversionNqso (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $58.61 | $0.00 |
DisclosureSEC source: 0001127602-12-007227 · form4.xml · derivative · entry 8 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2012-03-15 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 17, 2012 Filed Feb 22, 2012 00:57 UTC | AMGEN INC AMGN · Entity 2832 | GiftCommon Stock | 746 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-12-007227 · form4.xml · nonDerivative · entry 4 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Frank C & Maryellen C Herringer 1995 Family Trust Disclosed balance after: 2,821 F1 · shares: These shares are being transferred to the reporting person's Family Trust. Read SEC document |
| February 17, 2012 Filed Feb 22, 2012 00:57 UTC | AMGEN INC AMGN · Entity 2832 | GiftCommon Stock | 746 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-12-007227 · form4.xml · nonDerivative · entry 3 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,533 F1 · shares: These shares are being transferred to the reporting person's Family Trust. Read SEC document |
| February 17, 2012 Filed Feb 22, 2012 00:57 UTC | AMGEN INC AMGN · Entity 2832 | Tax withholdingCommon Stock | 4,254 | $68.89 | $293,058.06 |
DisclosureSEC source: 0001127602-12-007227 · form4.xml · nonDerivative · entry 2 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,279 Read SEC document |
| February 17, 2012 Filed Feb 22, 2012 00:57 UTC | AMGEN INC AMGN · Entity 2832 | Exercise / conversionCommon Stock | 5,000 | $58.61 | $293,050.00 |
DisclosureSEC source: 0001127602-12-007227 · form4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,533 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 |
| January 03, 2012 Filed Jan 5, 2012 16:13 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 2,135 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-000715 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,203.77 Underlying: Common Stock · 2,135 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 |
| December 08, 2011 Filed Dec 12, 2011 23:59 UTC | AMGEN INC AMGN · Entity 2832 | GrantDividend Equivalent · Derivative | 52.1685 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-11-031946 · form4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106.9788 Underlying: Common Stock · 52.1685 shares Expires not disclosed F1 · derivative.exercise_price: The Dividend Equivalents were granted pursuant to the Amgen Inc. 2009 Director Equity Incentive Program under the Amgen Inc. 2009 Equity Incentive Plan. The Dividend Equivalents are credited and deemed reinvested in the director's account in lieu of a cash dividend payment on the director's vested but deferred Restricted Stock Units. Dividend Equivalents will be paid in whole shares of the Company's common stock on a one-to-one basis on the director's elected deferral date, along with a cash payment for any remaining fractional share amount. F1 · derivative.exercise_date: The Dividend Equivalents were granted pursuant to the Amgen Inc. 2009 Director Equity Incentive Program under the Amgen Inc. 2009 Equity Incentive Plan. The Dividend Equivalents are credited and deemed reinvested in the director's account in lieu of a cash dividend payment on the director's vested but deferred Restricted Stock Units. Dividend Equivalents will be paid in whole shares of the Company's common stock on a one-to-one basis on the director's elected deferral date, along with a cash payment for any remaining fractional share amount. F1 · derivative.expiration_date: The Dividend Equivalents were granted pursuant to the Amgen Inc. 2009 Director Equity Incentive Program under the Amgen Inc. 2009 Equity Incentive Plan. The Dividend Equivalents are credited and deemed reinvested in the director's account in lieu of a cash dividend payment on the director's vested but deferred Restricted Stock Units. Dividend Equivalents will be paid in whole shares of the Company's common stock on a one-to-one basis on the director's elected deferral date, along with a cash payment for any remaining fractional share amount. Read SEC document |
| October 03, 2011 Filed Oct 5, 2011 14:57 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 2,288 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-022966 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,637.17 Underlying: Common Stock · 2,288 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 |
| September 08, 2011 Filed Sep 12, 2011 21:14 UTC | AMGEN INC AMGN · Entity 2832 | GrantDividend Equivalent · Derivative | 54.8103 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-11-025058 · form4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54.8103 Underlying: Common Stock · 54.8103 shares Expires not disclosed F1 · derivative.exercise_price: The Dividend Equivalents were granted pursuant to the Amgen Inc. 2009 Director Equity Incentive Program under the Amgen Inc. 2009 Equity Incentive Plan. The Dividend Equivalents are credited and deemed reinvested in the director's account in lieu of a cash dividend payment on the director's vested but deferred Restricted Stock Units. Dividend Equivalents will be paid in whole shares of the Company's common stock on a one-to-one basis on the director's elected deferral date, along with a cash payment for any remaining fractional share amount. F1 · derivative.exercise_date: The Dividend Equivalents were granted pursuant to the Amgen Inc. 2009 Director Equity Incentive Program under the Amgen Inc. 2009 Equity Incentive Plan. The Dividend Equivalents are credited and deemed reinvested in the director's account in lieu of a cash dividend payment on the director's vested but deferred Restricted Stock Units. Dividend Equivalents will be paid in whole shares of the Company's common stock on a one-to-one basis on the director's elected deferral date, along with a cash payment for any remaining fractional share amount. F1 · derivative.expiration_date: The Dividend Equivalents were granted pursuant to the Amgen Inc. 2009 Director Equity Incentive Program under the Amgen Inc. 2009 Equity Incentive Plan. The Dividend Equivalents are credited and deemed reinvested in the director's account in lieu of a cash dividend payment on the director's vested but deferred Restricted Stock Units. Dividend Equivalents will be paid in whole shares of the Company's common stock on a one-to-one basis on the director's elected deferral date, along with a cash payment for any remaining fractional share amount. Read SEC document |
| July 01, 2011 Filed Jul 6, 2011 15:44 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 1,496 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-017608 · doc4.xml · derivative · entry 5 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,973.2 Underlying: Common Stock · 1,496 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent 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 |
| July 01, 2011 Filed Jul 6, 2011 15:44 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 2,170 | $0.00 Strike: $14.38 | $0.00 |
DisclosureSEC source: 0001225208-11-017608 · doc4.xml · derivative · entry 4 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,170 shares Expires 2011-07-06 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 |
| July 01, 2011 Filed Jul 6, 2011 15:44 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 2,170 | $14.38 | $31,198.09 |
DisclosureSEC source: 0001225208-11-017608 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 77,110 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 |
| May 19, 2011 Filed May 23, 2011 14:51 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 11,344 | $0.00 Strike: $17.62 | $0.00 |
DisclosureSEC source: 0001225208-11-014957 · doc4.xml · derivative · entry 4 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,344 Underlying: Common Stock · 11,344 shares Expires 2021-05-19 F2 · derivative.exercise_date: The option was granted under the company's 2004 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 |
| May 19, 2011 Filed May 23, 2011 14:51 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 3,543 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-014957 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,323 F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2004 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 |
| April 25, 2011 Filed Apr 28, 2011 00:15 UTC | AMGEN INC AMGN · Entity 2832 | GrantNqso (Right to Buy) · Derivative | 5,000 | $54.69 Strike: $54.69 | $273,450.00 |
DisclosureSEC source: 0001127602-11-013858 · form4.xml · derivative · entry 6 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2021-04-25 Read SEC document |
| April 25, 2011 Filed Apr 28, 2011 00:15 UTC | AMGEN INC AMGN · Entity 2832 | GrantCommon Stock | 1,828 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-11-013858 · form4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,533 F1 · shares: The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Director Equity Incentive Program under the Amgen Inc. 2009 Equity Incentive Plan. RSUs vest (a) immediately for directors who have three years or more of prior continuous service as a director, or (b) one year from the grant date if the director has had less than three years of prior continuous service as a director. Vested RSUs will be paid in shares of the Company's common stock on a one-to-one basis unless payment is otherwise deferred by the director. Read SEC document |
| April 01, 2011 Filed Apr 5, 2011 15:08 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantRestricted Stock Units · Derivative | 1,351 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-011098 · doc4.xml · derivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,124.44 Underlying: Common Stock · 1,351 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 |
| March 21, 2011 Filed Mar 22, 2011 16:59 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 2,332 | $0.00 Strike: $14.58 | $0.00 |
DisclosureSEC source: 0001225208-11-010135 · doc4.xml · derivative · entry 4 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,332 shares Expires 2011-03-29 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 21, 2011 Filed Mar 22, 2011 16:59 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 2,332 | $14.58 | $33,994.03 |
DisclosureSEC source: 0001225208-11-010135 · doc4.xml · nonDerivative · entry 1 HERRINGER FRANK C · CIK 0001171694 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 71,759 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.