Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SCHWAB CHARLES CORPSCHW · Entity 1218 | EVP - Client Solutions | June 05, 2015 | June 09, 2015 |
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.
SCHWAB CHARLES CORP
Report date June 05, 2015 · Filed June 09, 2015
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 110,838.3798 |
Ending reported balance
After 2015-06-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2015-06-05 · Exercise / conversion · Acquired 64,000 · Balance 174,838.3798 Row 2 · 2015-06-05 · Sale · Disposed 64,000 · Balance 110,838.3798 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 27, 2014. F2: This transaction was executed in multiple trades at prices ranging from $33.00 to $33.58. 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. |
| Nonqualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.36 · Expires 2018-11-03 | Direct | 64,041 |
Reported balance
After 2015-06-05 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2015-06-05 · Exercise / conversion · Disposed 64,000 · Balance 64,041 |
| Common StockSEC Table I · non-derivative | Indirectby 401(k) | 29,442.288 |
Reported balance
Holding disclosure · report date 2015-06-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 29,442.288 |
| Common StockSEC Table I · non-derivative | Indirectby ESOP | 5,309.506 |
Reported balance
Holding disclosure · report date 2015-06-05 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 5,309.506 |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 27, 2014.
F2: This transaction was executed in multiple trades at prices ranging from $33.00 to $33.58. 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.
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 25, 2008 Filed Jan 28, 2008 21:57 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 20,000 | $8.76 | $175,232.00 |
DisclosureSEC source: 0001389181-08-000004 · edgar.xml · nonDerivative · entry 6 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,065 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 25, 2008 Filed Jan 28, 2008 21:57 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 7,342 | $9.26 | $67,967.10 |
DisclosureSEC source: 0001389181-08-000004 · edgar.xml · nonDerivative · entry 5 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,065 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 25, 2008 Filed Jan 28, 2008 21:57 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 6,293 | $12.50 | $78,654.95 |
DisclosureSEC source: 0001389181-08-000004 · edgar.xml · nonDerivative · entry 4 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,723 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 25, 2008 Filed Jan 28, 2008 21:57 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 7,727 | $14.32 | $110,649.09 |
DisclosureSEC source: 0001389181-08-000004 · edgar.xml · nonDerivative · entry 3 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,430 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 25, 2008 Filed Jan 28, 2008 21:57 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 6,293 | $12.50 | $78,654.95 |
DisclosureSEC source: 0001389181-08-000004 · edgar.xml · nonDerivative · entry 2 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,703 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 25, 2008 Filed Jan 28, 2008 21:57 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 4,720 | $8.32 | $39,249.63 |
DisclosureSEC source: 0001389181-08-000004 · edgar.xml · nonDerivative · entry 1 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,410 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 31, 2007 Filed Jan 2, 2008 19:26 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001389181-08-000002 · edgar.xml · nonDerivative · entry 1 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,177 F1 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 8,306 shares held by a 401(k) and 4,822 shares held by an ESOP. Read SEC document |
| December 31, 2007 Filed Jan 8, 2008 20:16 UTC Amendment | SCHWAB CHARLES CORP SCHW · Entity 1218 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001389181-08-000003 · edgar.xml · nonDerivative · entry 1 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,690 F1 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 8,296 shares held by a 401(k) and 4,827 shares held by an ESOP. Read SEC document |
| November 01, 2007 Filed Nov 5, 2007 22:58 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option · Derivative | 104,457 | $0.00 Strike: $23.33 | $0.00 |
DisclosureSEC source: 0001389181-07-000004 · edgar.xml · derivative · entry 2 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,457 Underlying: Common Stock · 104,457 shares Expires 2014-11-01 F3 · derivative.exercise_price: Shares under the option have an exercise price of $23.3295, which is 103% of the closing price of the company's common stock on the date of grant ($22.65). F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years. Read SEC document |
| November 01, 2007 Filed Nov 5, 2007 22:58 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 10,987 | $0.00 | $0.00 |
DisclosureSEC source: 0001389181-07-000004 · edgar.xml · nonDerivative · entry 1 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,616 F1 · shares: The award vests in increments of 25% on November 1, 2008, 2009, 2010 and 2011 based on the company achieving performance targets related to pre-tax adjusted income divided by revenue and revenue growth for the applicable one-year performance period beginning on October 1 and ending on the September 30 prior to each vesting date. F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 8,246 shares held by a 401(k) and 4,805 shares held by an ESOP. Read SEC document |
| February 25, 2007 Filed Feb 27, 2007 21:51 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 1,529 | $18.96 | $28,991.22 |
DisclosureSEC source: 0001389181-07-000003 · edgar.xml · nonDerivative · entry 1 McCool James D · CIK 0001389181 · EVP - Corp & Retirement Svcs. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,403 F1 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 7,832 shares held by a 401(k) and 4,562 shares held by an ESOP. 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.