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 |
|---|---|---|---|---|---|---|
| November 08, 2017 Filed Jan 5, 2018 18:42 UTC | AVANTAX, INC. BCOR · Entity 107910 | GiftCommon Stock | 2,059 | $0.00 | $0.00 |
DisclosureSEC source: 0001388961-18-000002 · wf-form4_151519571600276.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 559,334 F1 · kind: Reflects a charitable gift of securities by the reporting person. Read SEC document |
| November 06, 2017 Filed Nov 8, 2017 18:28 UTC | SVB FINANCIAL GROUP SIVB · Entity 86203 | GrantRestricted Stock Unit · Derivative | 337 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001562180-17-003524 · primarydocument.xml · derivative · entry 1 Clendening John S · CIK 0001388961 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 337 Underlying: Common Stock · 337 shares Expires 2027-11-06 F1 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. F2 · derivative.exercise_date: This transaction represents the reporting person's annual Director Equity grant of Restricted Stock Units. This award was granted on November 6, 2017, and is scheduled to vest upon the completion of the reporting person's 2017-2018 director term, currently expected to be on April 26, 2018 (the scheduled date of the Issuer's 2018 Annual Shareholder Meeting). Read SEC document |
| November 03, 2017 Filed Jan 5, 2018 18:42 UTC | AVANTAX, INC. BCOR · Entity 107910 | GiftCommon Stock | 7,092 | $0.00 | $0.00 |
DisclosureSEC source: 0001388961-18-000002 · wf-form4_151519571600276.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 561,393 F1 · kind: Reflects a charitable gift of securities by the reporting person. Read SEC document |
| October 04, 2017 Filed Oct 6, 2017 16:25 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 29,714 | $25.70 | $763,649.80 |
DisclosureSEC source: 0001388961-17-000007 · wf-form4_150732149386270.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 568,485 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 |
| June 07, 2017 Filed Jun 9, 2017 16:15 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock · Derivative | 216,667 | $0.00 Strike: $4.98 | $0.00 |
DisclosureSEC source: 0001388961-17-000005 · wf-form4_149703930971694.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,333 Underlying: Common Stock · 783,333 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% will vest at the end of each six-month period thereafter, such that the option will be fully vested on April 4, 2019. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 16:15 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 121,596 | $20.40 | $2,480,558.40 |
DisclosureSEC source: 0001388961-17-000005 · wf-form4_149703930971694.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 598,199 F1 · shares: Represents a "net exercise" of outstanding stock options. The reporting person received 95,071 shares of common stock on net exercise of option to purchase 216,667 shares of common stock. The reporting person forfeited 121,596 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on June 7, 2017 of $20.40. Read SEC document |
| June 07, 2017 Filed Jun 9, 2017 16:15 UTC | AVANTAX, INC. BCOR · Entity 107910 | Exercise / conversionCommon Stock | 216,667 | $4.98 | $1,079,001.66 |
DisclosureSEC source: 0001388961-17-000005 · wf-form4_149703930971694.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 719,795 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, 2017 Filed Apr 4, 2017 18:05 UTC | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 52,025 | $17.30 | $900,032.50 |
DisclosureSEC source: 0001388961-17-000004 · wf-form4_149134349621594.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 503,128 Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 19:09 UTC | AVANTAX, INC. BCOR · Entity 107910 | GrantStock Option (Right to Buy) · Derivative | 555,372 | $0.00 Strike: $14.75 | $0.00 |
DisclosureSEC source: 0001388961-17-000002 · wf-form4_148357492884856.xml · derivative · entry 2 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 555,372 Underlying: Common Stock · 555,372 shares Expires 2024-01-03 F1 · derivative.exercise_date: The option vests over three years such that 33.33% of the total option shall be vested on January 3, 2018, and approximately 16.67% shall vest at the end of each six month period thereafter, such that the option will be fully vested on January 3, 2020. Read SEC document |
| January 03, 2017 Filed Jan 4, 2017 19:09 UTC | AVANTAX, INC. BCOR · Entity 107910 | GrantCommon Stock | 76,779 | $0.00 | $0.00 |
DisclosureSEC source: 0001388961-17-000002 · wf-form4_148357492884856.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 555,153 Read SEC document |
| April 04, 2016 Filed Nov 21, 2016 16:22 UTC Amendment | AVANTAX, INC. BCOR · Entity 107910 | Tax withholdingCommon Stock | 21,626 | $4.98 | $107,697.48 |
DisclosureSEC source: 0001388961-16-000007 · wf-form4a_147976331704919.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 478,374 F1 · shares: This report of shares withheld for payment of taxes upon vesting of restricted stock units was omitted from the original Form 4. Read SEC document |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 31,173 | $0.00 Strike: $28.44 | $0.00 |
DisclosureSEC source: 0001225208-14-022809 · doc4.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,173 Underlying: Common Stock · 31,173 shares Expires 2024-11-03 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| November 03, 2014 Filed Nov 5, 2014 21:06 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 6,332 | $28.59 | $181,031.88 |
DisclosureSEC source: 0001225208-14-022809 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 76,197 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: Shares acquired on the vesting of restricted stock units. Read SEC document |
| August 13, 2014 Filed Aug 14, 2014 16:33 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 1,500 | $27.67 | $41,510.55 |
DisclosureSEC source: 0001225208-14-018472 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 69,865 F1 · price: This transaction was executed in multiple trades at prices ranging from $27.66 to $27.685. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 01, 2014 Filed Aug 5, 2014 17:19 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 33,693 | $0.00 Strike: $27.45 | $0.00 |
DisclosureSEC source: 0001225208-14-017992 · doc4.xml · derivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,693 Underlying: Common Stock · 33,693 shares Expires 2024-08-01 F1 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| July 21, 2014 Filed Jul 22, 2014 16:22 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 14,000 | $0.00 Strike: $19.36 | $0.00 |
DisclosureSEC source: 0001225208-14-017337 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,677 Underlying: Common Stock · 14,000 shares Expires 2018-11-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 21, 2014 Filed Jul 22, 2014 16:22 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 14,000 | $27.78 | $388,889.20 |
DisclosureSEC source: 0001225208-14-017337 · doc4.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 71,365 F1 · price: This transaction was executed in multiple trades at prices ranging from $27.75 to $27.83. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 21, 2014 Filed Jul 22, 2014 16:22 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 14,000 | $19.36 | $271,040.00 |
DisclosureSEC source: 0001225208-14-017337 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 85,365 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 03, 2014 Filed Mar 5, 2014 21:36 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 35,613 | $0.00 Strike: $25.86 | $0.00 |
DisclosureSEC source: 0001225208-14-007537 · doc4.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,613 Underlying: Common Stock · 35,613 shares Expires 2024-03-03 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 21:36 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 15,438 | $25.97 | $400,847.67 |
DisclosureSEC source: 0001225208-14-007537 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 71,365 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: Shares acquired on the vesting of restricted stock units. Read SEC document |
| November 22, 2013 Filed Nov 25, 2013 17:43 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 83,566 | $0.00 Strike: $23.33 | $0.00 |
DisclosureSEC source: 0001225208-13-024178 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 83,566 shares Expires 2014-11-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 22, 2013 Filed Nov 25, 2013 17:43 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 83,566 | $24.84 | $2,076,147.13 |
DisclosureSEC source: 0001225208-13-024178 · doc4.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 55,927 F1 · price: This transaction was executed in multiple trades at prices ranging from $24.80 to $24.97. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 22, 2013 Filed Nov 25, 2013 17:43 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 83,566 | $23.33 | $1,949,553.00 |
DisclosureSEC source: 0001225208-13-024178 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 139,493 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 |
| November 08, 2013 Filed Nov 12, 2013 17:41 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 34,558 | $0.00 Strike: $11.75 | $0.00 |
DisclosureSEC source: 0001225208-13-023234 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,558 Underlying: Common Stock · 34,558 shares Expires 2021-11-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 08, 2013 Filed Nov 12, 2013 17:41 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 34,558 | $23.93 | $826,824.34 |
DisclosureSEC source: 0001225208-13-023234 · doc4.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 55,927 F1 · price: This transaction was executed in multiple trades at prices ranging from $23.895 to $23.965. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 08, 2013 Filed Nov 12, 2013 17:41 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 34,558 | $11.75 | $406,056.50 |
DisclosureSEC source: 0001225208-13-023234 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 90,485 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 |
| November 01, 2013 Filed Nov 5, 2013 18:21 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 36,024 | $0.00 Strike: $23.12 | $0.00 |
DisclosureSEC source: 0001225208-13-022867 · doc4.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,024 Underlying: Common Stock · 36,024 shares Expires 2023-11-01 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| November 01, 2013 Filed Nov 5, 2013 18:21 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 6,332 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-022867 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 55,927 F1 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| August 01, 2013 Filed Aug 5, 2013 20:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 60,000 | $0.00 Strike: $19.36 | $0.00 |
DisclosureSEC source: 0001225208-13-017284 · doc4.xml · derivative · entry 5 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,677 Underlying: Common Stock · 60,000 shares Expires 2018-11-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 01, 2013 Filed Aug 5, 2013 20:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 38,820 | $0.00 Strike: $22.67 | $0.00 |
DisclosureSEC source: 0001225208-13-017284 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,820 Underlying: Common Stock · 38,820 shares Expires 2023-08-01 F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| August 01, 2013 Filed Aug 5, 2013 20:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 60,000 | $22.73 | $1,363,842.00 |
DisclosureSEC source: 0001225208-13-017284 · doc4.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 49,595 F1 · price: This transaction was executed in multiple trades at prices ranging from $22.70 to $22.76. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| August 01, 2013 Filed Aug 5, 2013 20:14 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 60,000 | $19.36 | $1,161,600.00 |
DisclosureSEC source: 0001225208-13-017284 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 109,595 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, 2013 Filed May 22, 2013 17:00 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 47,247 | $18.29 Strike: $18.29 | $864,218.50 |
DisclosureSEC source: 0001225208-13-012938 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 47,247 shares Expires 2013-10-30 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, 2013 Filed May 22, 2013 17:00 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 47,247 | $19.12 | $903,339.02 |
DisclosureSEC source: 0001225208-13-012938 · doc4.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 49,595 F1 · price: This transaction was executed in multiple trades at prices ranging from $19.07 to $19.21. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 21, 2013 Filed May 22, 2013 17:00 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 47,247 | $18.29 | $864,218.50 |
DisclosureSEC source: 0001225208-13-012938 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 96,842 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 01, 2013 Filed Mar 5, 2013 19:55 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 60,533 | $0.00 Strike: $16.40 | $0.00 |
DisclosureSEC source: 0001225208-13-006554 · doc4.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,533 Underlying: Common Stock · 60,533 shares Expires 2023-03-01 F2 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 01, 2013 Filed Mar 5, 2013 19:55 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 6,297 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-006554 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 49,595 F1 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| February 07, 2013 Filed Feb 11, 2013 17:45 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 13,111 | $0.00 Strike: $13.12 | $0.00 |
DisclosureSEC source: 0001225208-13-003529 · doc4.xml · derivative · entry 5 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,111 shares Expires 2014-01-20 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 07, 2013 Filed Feb 11, 2013 17:45 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionIncentive Stock Option (right to buy) · Derivative | 26,222 | $0.00 Strike: $13.12 | $0.00 |
DisclosureSEC source: 0001225208-13-003529 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,222 shares Expires 2014-01-20 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 07, 2013 Filed Feb 11, 2013 17:45 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 39,333 | $16.88 | $664,019.71 |
DisclosureSEC source: 0001225208-13-003529 · doc4.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 43,298 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 February 5, 2013. F2 · price: This transaction was executed in multiple trades at prices ranging from $16.86 to $16.92. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 07, 2013 Filed Feb 11, 2013 17:45 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 39,333 | $13.12 | $515,989.96 |
DisclosureSEC source: 0001225208-13-003529 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 82,631 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 28, 2013 Filed Jan 29, 2013 16:43 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 13,111 | $0.00 Strike: $13.12 | $0.00 |
DisclosureSEC source: 0001225208-13-002294 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,111 Underlying: Common Stock · 13,111 shares Expires 2014-01-20 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 28, 2013 Filed Jan 29, 2013 16:43 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 13,111 | $16.11 | $211,270.65 |
DisclosureSEC source: 0001225208-13-002294 · doc4.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 43,298 F1 · price: This transaction was executed in multiple trades at prices ranging from $16.11 to $16.125. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| January 28, 2013 Filed Jan 29, 2013 16:43 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 13,111 | $13.12 | $171,996.65 |
DisclosureSEC source: 0001225208-13-002294 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP - Investor Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 56,409 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 |
| November 01, 2012 Filed Nov 5, 2012 19:21 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 70,000 | $0.00 Strike: $13.64 | $0.00 |
DisclosureSEC source: 0001225208-12-022339 · doc4.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2022-11-01 F2 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| November 01, 2012 Filed Nov 5, 2012 19:21 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 8,385 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-022339 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 43,298 F1 · shares: Shares acquired on the vesting of restricted stock units. Read SEC document |
| August 01, 2012 Filed Aug 3, 2012 15:53 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 73,108 | $0.00 Strike: $12.45 | $0.00 |
DisclosureSEC source: 0001225208-12-017218 · doc4.xml · derivative · entry 1 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,108 Underlying: Common Stock · 73,108 shares Expires 2022-08-01 F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| March 19, 2012 Filed Mar 21, 2012 16:41 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 57,614 | $0.00 Strike: $14.59 | $0.00 |
DisclosureSEC source: 0001225208-12-008145 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,498 Underlying: Common Stock · 57,614 shares Expires 2012-09-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 19, 2012 Filed Mar 21, 2012 16:41 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 57,614 | $15.51 | $893,443.34 |
DisclosureSEC source: 0001225208-12-008145 · doc4.xml · nonDerivative · entry 2 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 34,913 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 February 29, 2012. F2 · price: This transaction was executed in multiple trades at prices ranging from $15.50 to $15.52. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 19, 2012 Filed Mar 21, 2012 16:41 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 57,614 | $14.59 | $840,352.04 |
DisclosureSEC source: 0001225208-12-008145 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 92,527 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.