Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| INTEL CORPINTC · Entity 2799 | Director | February 23, 2018 | February 27, 2018 |
| Neostellar Capital Corp.GSVC · Entity 6085 | Director | May 11, 2018 | May 14, 2018 |
| SCHWAB CHARLES CORPSCH · Entity 1218 | Director · President and CEO | April 16, 2004 | April 19, 2004 |
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.
INTEL CORP
Report date February 23, 2018 · Filed February 27, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 101,775 |
Reported balance
After 2018-02-23 transaction · row 1
1 source rowRow 1 · 2018-02-23 · Exercise / conversion · Acquired 2,705 · Balance 101,775 F1: Shares acquired on the vesting of restricted stock units. |
| Performance-based Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-02-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-02-23 · Exercise / conversion · Disposed 2,220 · Balance 0 F2: Each performance-based Restricted Stock Unit (RSU) represents the right to receive, following vesting, up to 200% of one share of Intel common stock, together with dividend equivalent shares on the vested number of shares. The resulting number of shares of Intel common stock acquired upon vesting of the performance-based RSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year performance period beginning on the grant date and ending on the third anniversary of the grant date, unless that date falls on a date that the NASDAQ Stock Market is closed, in which case the next business date that the NASDAQ Stock Market is open shall apply. F3: Unless earlier forfeited under the terms of the performance-based RSU, each performance-based RSU vests and converts into no more than 200% of one share of Intel common stock three years and one month after the grant date (together with dividend equivalent shares thereon), unless that date falls on a non-business date, in which case the next business date shall apply. F4: Due to a limitation in the filing software, the total number of shares of Common Stock received was 2,705 as reported above in Table I. The conversion rate of the Performance-based Restricted Stock was 113.5%. Upon conversion of the RSUs, the Reporting Person received 2,520 shares of Common Stock. Upon conversion of $8,511.30 in dividend equivalents, the Reporting person received an additional 185 shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectBy Annuity Trust (1) for Brother | 8,400 |
Reported balance
Holding disclosure · report date 2018-02-23 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 8,400 |
| Common StockSEC Table I · non-derivative | IndirectBy Annuity Trust (2) for Brother | 5,000 |
Reported balance
Holding disclosure · report date 2018-02-23 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 5,000 |
| Common StockSEC Table I · non-derivative | IndirectBy Daughter | 800 |
Reported balance
Holding disclosure · report date 2018-02-23 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 800 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired on the vesting of restricted stock units.
F2: Each performance-based Restricted Stock Unit (RSU) represents the right to receive, following vesting, up to 200% of one share of Intel common stock, together with dividend equivalent shares on the vested number of shares. The resulting number of shares of Intel common stock acquired upon vesting of the performance-based RSUs is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three-year performance period beginning on the grant date and ending on the third anniversary of the grant date, unless that date falls on a date that the NASDAQ Stock Market is closed, in which case the next business date that the NASDAQ Stock Market is open shall apply.
F3: Unless earlier forfeited under the terms of the performance-based RSU, each performance-based RSU vests and converts into no more than 200% of one share of Intel common stock three years and one month after the grant date (together with dividend equivalent shares thereon), unless that date falls on a non-business date, in which case the next business date shall apply.
F4: Due to a limitation in the filing software, the total number of shares of Common Stock received was 2,705 as reported above in Table I. The conversion rate of the Performance-based Restricted Stock was 113.5%. Upon conversion of the RSUs, the Reporting Person received 2,520 shares of Common Stock. Upon conversion of $8,511.30 in dividend equivalents, the Reporting person received an additional 185 shares of Common Stock.
Neostellar Capital Corp.
Report date May 11, 2018 · Filed May 14, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectThrough David S Pottruck Revocable Trust | 25,000 |
Reported balance
After 2018-05-11 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-05-11 · Purchase · Acquired 15,000 · Balance 25,000 F1: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.73 to $6.935 per share, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $6.73 to $6.935 per share, inclusive. The reporting person undertakes to provide to GSV Capital Corp., any security holder of GSV Capital Corp., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
SCHWAB CHARLES CORP
Report date April 16, 2004 · Filed April 19, 2004
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectby Revocable Trust | 4,403,459 |
Reported balance
After 2004-04-16 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2004-04-16 · Exercise / conversion · Acquired 100,000 · Balance 4,403,459 |
| Common StockSEC Table I · non-derivative | Indirectby Revocable Trust | 4,322,259 |
Reported balance
After 2004-04-16 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2004-04-16 · Sale · Disposed 81,200 · Balance 4,322,259 |
| Common StockSEC Table I · non-derivative | Indirectby Revocable Trust | 4,310,559 |
Reported balance
After 2004-04-16 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2004-04-16 · Sale · Disposed 11,700 · Balance 4,310,559 |
| Common StockSEC Table I · non-derivative | Indirectby Revocable Trust | 4,306,759 |
Reported balance
After 2004-04-16 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2004-04-16 · Sale · Disposed 3,800 · Balance 4,306,759 |
| Common StockSEC Table I · non-derivative | Indirectby Revocable Trust | 4,303,459 |
Reported balance
After 2004-04-16 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2004-04-16 · Sale · Disposed 3,300 · Balance 4,303,459 F1: The reporting person also has a direct beneficial ownership in 365,498 shares, and an indirect beneficial ownership in the following shares: 137,843 by Trust B; 137,843 by Trust C; 3,215 by Trust D; 24,677 by Spouse in Trust; 967,122 by ESOP; and 180,530 by 401(k). |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.60 · Expires 2004-10-18 | Direct | 400,000 |
Reported balance
After 2004-04-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2004-04-16 · Exercise / conversion · Disposed 100,000 · Balance 400,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person also has a direct beneficial ownership in 365,498 shares, and an indirect beneficial ownership in the following shares: 137,843 by Trust B; 137,843 by Trust C; 3,215 by Trust D; 24,677 by Spouse in Trust; 967,122 by ESOP; and 180,530 by 401(k).
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 |
|---|---|---|---|---|---|---|
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 101,200 | $12.50 | $1,265,000.00 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 9 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,599,904 Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 2,000 | $12.48 | $24,960.00 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 8 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,701,104 Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 2,000 | $12.42 | $24,840.00 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 7 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,703,104 Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 5,000 | $12.40 | $62,000.00 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 6 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,705,104 Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 7,000 | $12.39 | $86,730.00 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 5 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,710,104 Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 4,000 | $12.38 | $49,520.00 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 4 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,717,104 Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 3,000 | $12.37 | $37,110.00 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 3 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,721,104 Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 50,000 | $12.35 | $617,500.00 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 2 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,724,104 Read SEC document |
| January 29, 2004 Filed Feb 2, 2004 22:23 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | Exercise / conversionCommon Stock | 474,818 | $1.60 | $759,708.80 |
DisclosureSEC source: 0001185987-04-000003 · edgar.xml · nonDerivative · entry 1 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · by Revocable Trust Disclosed balance after: 4,774,104 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 20, 2004 Filed Jan 22, 2004 19:10 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | GrantNon-Qualified Stock Options (right to buy) · Derivative | 425,000 | $0.00 Strike: $13.76 | $0.00 |
DisclosureSEC source: 0001185987-04-000001 · edgar.xml · derivative · entry 1 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425,000 Underlying: Common Stock · 425,000 shares Expires 2014-01-20 F1 · derivative.exercise_date: The options were granted pursuant to the Company's 2001 Stock Incentive Plan and will fully vest on July 20, 2004. However, the exercise of the options is restricted to the earlier of three years from the grant date or the date the reporting person retires. The sale of shares under this option grant must be three years or later from the grant date. Read SEC document |
| May 21, 2003 Filed May 23, 2003 20:19 UTC | INTEL CORP INTC · Entity 2799 | GrantOption (right to buy) · Derivative | 15,000 | $0.00 Strike: $18.73 | $0.00 |
DisclosureSEC source: 0000050863-03-000165 · edgar.xml · derivative · entry 1 POTTRUCK DAVID S · CIK 0001185987 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: COM.STK · 15,000 shares Expires 2013-05-21 F1 · price: Column 8 is not a required reportable field. Use zeros per SEC. F2 · balance_after: Mr. Pottruck owns directly 8,150 shares of common stock of Intel Corporation. Mr. Pottruck owns indirectly 13,400 shares of Intel common stock in trusts for his brothers. Mr. Pottruck owns indirectly 800 and 2,000 shares of Intel common stock held by his daughter and son, respectively. Read SEC document |
| May 09, 2003 Filed May 13, 2003 18:16 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | GrantIncentive Stock Options (right to buy) · Derivative | 11,261 | $0.00 Strike: $8.88 | $0.00 |
DisclosureSEC source: 0001185987-03-000007 · edgar.xml · derivative · entry 2 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,261 Underlying: Common Stock · 11,261 shares Expires 2013-05-09 F1 · derivative.exercise_date: The options were granted pursuant to the Company's 2001 Stock Incentive Plan and will fully vest on the fifth anniversary of the grant date. However, if certain performance goals are met or exceeded on either the third or fourth anniversary of the grant date, the vesting of the options will accelerate and the options will then fully vest. Read SEC document |
| May 09, 2003 Filed May 13, 2003 18:16 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | GrantNon-Qualified Stock Options (right to buy) · Derivative | 1,405,839 | $0.00 Strike: $8.88 | $0.00 |
DisclosureSEC source: 0001185987-03-000007 · edgar.xml · derivative · entry 1 POTTRUCK DAVID S · CIK 0001185987 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,405,839 Underlying: Common Stock · 1,405,839 shares Expires 2013-05-09 F1 · derivative.exercise_date: The options were granted pursuant to the Company's 2001 Stock Incentive Plan and will fully vest on the fifth anniversary of the grant date. However, if certain performance goals are met or exceeded on either the third or fourth anniversary of the grant date, the vesting of the options will accelerate and the options will then fully vest. 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.