Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AVANTAX, INC.BCOR · Entity 107910 | Director · President and CEO | January 02, 2020 | January 06, 2020 |
| SCHWAB CHARLES CORPSCHW · Entity 1218 | EVP - Investor Services | November 03, 2014 | November 05, 2014 |
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.
AVANTAX, INC.
Report date January 02, 2020 · Filed January 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 634,297 |
Last balance in matching sequence
After 2020-01-03 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-01-02 · Tax withholding · Disposed 6,054 · Balance 637,413 F1: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person. F2: Not included in this amount are 119,132 performance-based restricted stock units of which (i) 12,906 are eligible to vest following May 6, 2020, (ii) 43,750 are eligible to vest from 0% to 200% following the end of 2020 and (iii) 62,476 are eligible to vest from 0% to 200% following the end of 2021. Vesting, for each award, is subject to the Issuer's achievement of certain financial goals over a three-year period and certification by the Compensation Committee. Row 2 · 2020-01-03 · Tax withholding · Disposed 3,116 · Balance 634,297 F1: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person. F2: Not included in this amount are 119,132 performance-based restricted stock units of which (i) 12,906 are eligible to vest following May 6, 2020, (ii) 43,750 are eligible to vest from 0% to 200% following the end of 2020 and (iii) 62,476 are eligible to vest from 0% to 200% following the end of 2021. Vesting, for each award, is subject to the Issuer's achievement of certain financial goals over a three-year period and certification by the Compensation Committee. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.
F2: Not included in this amount are 119,132 performance-based restricted stock units of which (i) 12,906 are eligible to vest following May 6, 2020, (ii) 43,750 are eligible to vest from 0% to 200% following the end of 2020 and (iii) 62,476 are eligible to vest from 0% to 200% following the end of 2021. Vesting, for each award, is subject to the Issuer's achievement of certain financial goals over a three-year period and certification by the Compensation Committee.
SCHWAB CHARLES CORP
Report date November 03, 2014 · Filed November 05, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Indirectby Trust | 76,197 |
Reported balance
After 2014-11-03 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2014-11-03 · Exercise / conversion · Acquired 6,332 · Balance 76,197 F1: Shares acquired on the vesting of restricted stock units. |
| Nonqualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.44 · Expires 2024-11-03 | Direct | 31,173 |
Reported balance
After 2014-11-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2014-11-03 · Grant · Acquired 31,173 · Balance 31,173 F2: 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. |
| Common StockSEC Table I · non-derivative | Direct | 275 |
Reported balance
Holding disclosure · report date 2014-11-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 275 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares acquired on the vesting of restricted stock units.
F2: 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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
SVB FINANCIAL GROUP
Report date April 21, 2022 · Filed April 25, 2022
Section 16 reporting ended · disclosed 2022-04-25. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,735 |
Reported balance
After 2022-04-21 transaction · row 1
1 source rowRow 1 · 2022-04-21 · Exercise / conversion · Acquired 284 · Balance 2,735 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Expires 2031-05-03 | Direct | 0 |
Reported balance
After 2022-04-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-04-21 · Exercise / conversion · Disposed 284 · Balance 0 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
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 |
|---|---|---|---|---|---|---|
| October 04, 2018 Filed Oct 5, 2018 16:41 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 31,761 | $37.01 | $1,175,474.61 |
DisclosureSEC source: 0001388961-18-000014 · wf-form4_153877206025304.xml · nonDerivative · entry 4 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 660,671 F2 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 18,239 shares of common stock on net exercise of option to purchase 50,000 shares of common stock. The reporting person forfeited 31,761 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on October 3, 2018 of $37.01. Read SEC document |
| October 04, 2018 Filed Oct 5, 2018 16:41 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 26,132 | $37.01 | $967,145.32 |
DisclosureSEC source: 0001388961-18-000014 · wf-form4_153877206025304.xml · nonDerivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 692,432 F1 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 28,868 shares of common stock on net exercise of option to purchase 55,000 shares of common stock. The reporting person forfeited 26,132 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on October 3, 2018 of $37.01. Read SEC document |
| October 04, 2018 Filed Oct 5, 2018 16:41 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 50,000 | $14.75 | $737,500.00 |
DisclosureSEC source: 0001388961-18-000014 · wf-form4_153877206025304.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 718,564 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. F2 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 18,239 shares of common stock on net exercise of option to purchase 50,000 shares of common stock. The reporting person forfeited 31,761 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on October 3, 2018 of $37.01. Read SEC document |
| October 04, 2018 Filed Oct 5, 2018 16:41 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 55,000 | $4.98 | $273,900.00 |
DisclosureSEC source: 0001388961-18-000014 · wf-form4_153877206025304.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,564 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 28,868 shares of common stock on net exercise of option to purchase 55,000 shares of common stock. The reporting person forfeited 26,132 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on October 3, 2018 of $37.01. Read SEC document |
| July 17, 2018 Filed Jul 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000011 · wf-form4_153194599349426.xml · derivative · entry 6 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 397,166 Underlying: Common Stock · 20,000 shares Expires 2023-04-04 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. F4 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| July 17, 2018 Filed Jul 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 30,000 | $38.06 | $1,141,821.00 |
DisclosureSEC source: 0001388961-18-000011 · wf-form4_153194599349426.xml · nonDerivative · entry 4 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 613,564 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 14, 2018. F3 · shares: The price reported in Column 4 is a weighted average price. These shares sold in multiple transactions at prices ranging from $37.50 to $38.35. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| July 17, 2018 Filed Jul 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 20,000 | $4.98 | $99,600.00 |
DisclosureSEC source: 0001388961-18-000011 · wf-form4_153194599349426.xml · nonDerivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 643,564 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 16, 2018 Filed Jul 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 34,000 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000011 · wf-form4_153194599349426.xml · derivative · entry 5 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 417,166 Underlying: Common Stock · 34,000 shares Expires 2023-04-04 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. F4 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 49,000 | $37.41 | $1,833,256.60 |
DisclosureSEC source: 0001388961-18-000011 · wf-form4_153194599349426.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 623,564 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 14, 2018. F2 · shares: The price reported in Column 4 is a weighted average price. These shares sold in multiple transactions at prices ranging from $37.10 to $37.85. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 34,000 | $4.98 | $169,320.00 |
DisclosureSEC source: 0001388961-18-000011 · wf-form4_153194599349426.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 672,564 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 03, 2018 Filed Jul 6, 2018 17:02 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 5,035 | $37.80 | $190,323.00 |
DisclosureSEC source: 0001388961-18-000010 · wf-form4_153091093254863.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 638,564 F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person. Read SEC document |
| May 17, 2018 Filed May 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000009 · wf-form4_152667553807529.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 451,166 Underlying: Common Stock · 35,000 shares Expires 2023-04-04 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. F2 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| May 17, 2018 Filed May 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 16,734 | $35.70 | $597,403.80 |
DisclosureSEC source: 0001388961-18-000009 · wf-form4_152667553807529.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 643,599 F1 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 18,266 shares of common stock on net exercise of option to purchase 35,000 shares of common stock. The reporting person forfeited 16,734 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on May 17, 2018 of $35.70. Read SEC document |
| May 17, 2018 Filed May 18, 2018 16:33 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 35,000 | $4.98 | $174,300.00 |
DisclosureSEC source: 0001388961-18-000009 · wf-form4_152667553807529.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 660,333 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 18,266 shares of common stock on net exercise of option to purchase 35,000 shares of common stock. The reporting person forfeited 16,734 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on May 17, 2018 of $35.70. Read SEC document |
| May 10, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 70,834 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · derivative · entry 11 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 486,166 Underlying: Common Stock · 70,834 shares Expires 2023-04-04 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. F6 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| May 10, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 34,377 | $32.90 | $1,131,003.30 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 9 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625,333 F5 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 36,457 shares of common stock on net exercise of option to purchase 70,834 shares of common stock. The reporting person forfeited 34,377 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on May 10, 2018 of $32.90 Read SEC document |
| May 10, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 70,834 | $4.98 | $352,753.32 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 8 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 659,710 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. F5 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 36,457 shares of common stock on net exercise of option to purchase 70,834 shares of common stock. The reporting person forfeited 34,377 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on May 10, 2018 of $32.90 Read SEC document |
| May 09, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 25,916 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · derivative · entry 10 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 557,000 Underlying: Common Stock · 25,916 shares Expires 2023-04-04 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. F6 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| May 09, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 100 | $29.65 | $2,965.00 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 7 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 588,876 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. Read SEC document |
| May 09, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 9,000 | $29.09 | $261,810.00 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 6 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 588,976 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares sold in multiple transactions at prices ranging from $28.60 to $29.60. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| May 09, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 500 | $27.66 | $13,830.00 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 5 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 597,976 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares sold in multiple transactions at prices ranging from $27.15 to $28.05. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| May 09, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 600 | $29.79 | $17,874.00 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 4 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 598,476 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares sold in multiple transactions at prices ranging from $29.65 to $30.15. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| May 09, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 24,100 | $29.13 | $702,033.00 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 599,076 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares sold in multiple transactions at prices ranging from $28.60 to $29.60. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| May 09, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 1,216 | $27.65 | $33,622.40 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 623,176 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares sold in multiple transactions at prices ranging from $27.15 to $28.05. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| May 09, 2018 Filed May 11, 2018 17:20 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 25,916 | $4.98 | $129,061.68 |
DisclosureSEC source: 0001388961-18-000008 · wf-form4_152607358693233.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 624,392 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 01, 2018 Filed May 3, 2018 19:43 UTC | SVB FINANCIAL GROUP SIVB · Entity 86203 | GrantRestricted Stock Unit · Derivative | 492 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001562180-18-002206 · primarydocument.xml · derivative · entry 2 Clendening John S · CIK 0001388961 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 492 Underlying: Common Stock · 492 shares Expires 2028-05-01 F1 · shares: This transaction represents the reporting person's annual Director Equity grant of Restricted Stock Units. This award was granted on May 1, 2018, and is scheduled to vest upon the completion of the reporting person's 2018-2019 director term, currently expected to be on April 25, 2019 (the scheduled date of the Issuer's 2019 Annual Shareholder Meeting). F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. Read SEC document |
| April 26, 2018 Filed Apr 30, 2018 18:53 UTC | SVB FINANCIAL GROUP SIVB · Entity 86203 | Exercise / conversionRestricted Stock Unit · Derivative | 337 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001562180-18-002071 · primarydocument.xml · derivative · entry 2 Clendening John S · CIK 0001388961 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 337 shares Expires 2027-11-06 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. F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. Read SEC document |
| April 26, 2018 Filed Apr 30, 2018 18:53 UTC | SVB FINANCIAL GROUP SIVB · Entity 86203 | Exercise / conversionCommon Stock | 337 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001562180-18-002071 · primarydocument.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337 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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. Read SEC document |
| April 18, 2018 Filed Apr 20, 2018 16:27 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 25,917 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000007 · wf-form4_152425604762170.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 582,916 Underlying: Common Stock · 25,917 shares Expires 2023-04-04 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. F3 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| April 18, 2018 Filed Apr 20, 2018 16:27 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 9,600 | $26.45 | $253,953.60 |
DisclosureSEC source: 0001388961-18-000007 · wf-form4_152425604762170.xml · nonDerivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 598,476 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · price: These shares sold at a price ranging from $26.45 to $26.4550 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| April 18, 2018 Filed Apr 20, 2018 16:27 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 25,917 | $26.45 | $685,504.65 |
DisclosureSEC source: 0001388961-18-000007 · wf-form4_152425604762170.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 608,076 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. Read SEC document |
| April 18, 2018 Filed Apr 20, 2018 16:27 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 25,917 | $4.98 | $129,066.66 |
DisclosureSEC source: 0001388961-18-000007 · wf-form4_152425604762170.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 633,993 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 04, 2018 Filed Apr 6, 2018 16:17 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 27,872 | $24.35 | $678,683.20 |
DisclosureSEC source: 0001388961-18-000006 · wf-form4_152304581207337.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 608,076 F1 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 16:37 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 25,917 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000005 · wf-form4_152105986029896.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 608,833 Underlying: Common Stock · 25,917 shares Expires 2023-04-04 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. F3 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 16:37 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 9,600 | $25.25 | $242,433.60 |
DisclosureSEC source: 0001388961-18-000005 · wf-form4_152105986029896.xml · nonDerivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 635,948 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · price: These shares sold at a price ranging from $25.25 to $25.2550 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 16:37 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 25,917 | $25.25 | $654,450.90 |
DisclosureSEC source: 0001388961-18-000005 · wf-form4_152105986029896.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 645,548 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · price: These shares sold at a price ranging from $25.25 to $25.2550 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| March 12, 2018 Filed Mar 14, 2018 16:37 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 25,917 | $4.98 | $129,066.66 |
DisclosureSEC source: 0001388961-18-000005 · wf-form4_152105986029896.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671,465 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, 2018 Filed Feb 28, 2018 16:39 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 28,800 | $24.85 | $715,708.80 |
DisclosureSEC source: 0001388961-18-000004 · wf-form4_151985371426303.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 645,548 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F2 · price: These shares sold at a price ranging from $24.65 to $24.975 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| February 22, 2018 Filed Feb 22, 2018 18:04 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,150 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000003 · wf-form4_151934063526535.xml · derivative · entry 8 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 634,750 Underlying: Common Stock · 35,150 shares Expires 2023-04-04 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. F7 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| February 22, 2018 Filed Feb 22, 2018 18:04 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 35,150 | $24.46 | $859,716.28 |
DisclosureSEC source: 0001388961-18-000003 · wf-form4_151934063526535.xml · nonDerivative · entry 5 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,348 F3 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F5 · price: These shares sold at a price ranging from $24.30 to $24.60 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| February 22, 2018 Filed Feb 22, 2018 18:04 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 35,150 | $4.98 | $175,047.00 |
DisclosureSEC source: 0001388961-18-000003 · wf-form4_151934063526535.xml · nonDerivative · entry 4 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 709,498 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 21, 2018 Filed Feb 22, 2018 18:04 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionStock Option (Right to Buy) · Derivative | 42,600 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000003 · wf-form4_151934063526535.xml · derivative · entry 7 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 669,900 Underlying: Common Stock · 42,600 shares Expires 2023-04-04 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. F7 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 18:04 UTC | AVANTAX, INC. BCOR · Entity 107910 | SaleCommon Stock | 42,600 | $24.23 | $1,032,121.32 |
DisclosureSEC source: 0001388961-18-000003 · wf-form4_151934063526535.xml · nonDerivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,348 F3 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 9, 2017. F4 · price: These shares sold at a price ranging from $23.85 to $24.55 per share. Upon request by the SEC staff, the issuer or any security holder of the issuer, the reporting person will provide the full information regarding the number of shares sold at each separate price. Read SEC document |
| February 21, 2018 Filed Feb 22, 2018 18:04 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 42,600 | $4.98 | $212,148.00 |
DisclosureSEC source: 0001388961-18-000003 · wf-form4_151934063526535.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 716,948 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 20, 2018 Filed Feb 22, 2018 18:04 UTC | AVANTAX, INC. BCOR · Entity 107910 | GrantStock Option (Right to Buy) · Derivative | 140,000 | $0.00 Strike: $24.00 | $0.00 |
DisclosureSEC source: 0001388961-18-000003 · wf-form4_151934063526535.xml · derivative · entry 6 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,000 Underlying: Common Stock · 140,000 shares Expires 2025-02-20 F6 · derivative.exercise_date: The option vests according to the following schedule: one-third vests on February 20, 2019, an additional one-third vest on February 20, 2020, and the remaining one-third will vest on February 20, 2021, such that the option will be fully vested on February 20, 2021. Read SEC document |
| February 20, 2018 Filed Feb 22, 2018 18:04 UTC | AVANTAX, INC. BCOR · Entity 107910 | GrantCommon Stock | 87,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001388961-18-000003 · wf-form4_151934063526535.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,348 F1 · shares: Reflects a restricted stock unit grant ("RSUs") that was made to the reporting person on February 20, 2018 and that will vest equally over a three-year period on each anniversary of the grant date. F2 · balance_after: Not included in this amount are 43,750 performance-based restricted stock units, of which from 0% to 200% are eligible to vest on January 1, 2021 subject to the Issuer's achievement of certain financial goals over a three-year period and certification by the Compensation Committee. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 18:42 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock · Derivative | 70,833 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-18-000002 · wf-form4_151519571600276.xml · derivative · entry 6 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 712,500 Underlying: Common Stock · 70,833 shares Expires 2023-04-04 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. F4 · derivative.exercise_date: 15% of the total option vested on April 4, 2016. The remainder vested 33.33% on April 4, 2017, and approximately 16.67% vests at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 18:42 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 36,049 | $22.70 | $818,312.30 |
DisclosureSEC source: 0001388961-18-000002 · wf-form4_151519571600276.xml · nonDerivative · entry 5 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 586,848 F3 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 34,784 shares of common stock on the net exercise of options to purchase 70,833 shares of common stock. The reporting person forfeited 36,049 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on January 5, 2018 of $22.70. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 18:42 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 70,833 | $4.98 | $352,748.34 |
DisclosureSEC source: 0001388961-18-000002 · wf-form4_151519571600276.xml · nonDerivative · entry 4 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 622,897 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, 2018 Filed Jan 5, 2018 18:42 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 7,270 | $22.75 | $165,392.50 |
DisclosureSEC source: 0001388961-18-000002 · wf-form4_151519571600276.xml · nonDerivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 552,064 F2 · shares: This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person. 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.