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 |
|---|---|---|---|---|---|---|
| March 01, 2012 Filed Mar 5, 2012 16:39 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 57,852 | $0.00 Strike: $13.91 | $0.00 |
DisclosureSEC source: 0001225208-12-006552 · doc4.xml · derivative · entry 1 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,852 Underlying: Common Stock · 57,852 shares Expires 2022-03-01 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 |
| November 03, 2011 Filed Nov 7, 2011 18:32 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 1,052 | $12.46 | $13,102.66 |
DisclosureSEC source: 0001225208-11-024415 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,354 Read SEC document |
| November 02, 2011 Filed Nov 4, 2011 17:24 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 3,027 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-024356 · 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: 31,704 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 01, 2011 Filed Nov 2, 2011 22:51 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 69,116 | $0.00 Strike: $11.75 | $0.00 |
DisclosureSEC source: 0001225208-11-024221 · doc4.xml · derivative · entry 3 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,116 Underlying: Common Stock · 69,116 shares Expires 2021-11-01 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, 2011 Filed Nov 2, 2011 22:51 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 3,382 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-024221 · 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: 28,677 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 01, 2011 Filed Nov 2, 2011 22:51 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 806 | $11.87 | $9,567.22 |
DisclosureSEC source: 0001225208-11-024221 · doc4.xml · nonDerivative · entry 1 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,406 Read SEC document |
| August 01, 2011 Filed Aug 3, 2011 15:37 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 61,664 | $0.00 Strike: $15.05 | $0.00 |
DisclosureSEC source: 0001225208-11-019197 · doc4.xml · derivative · entry 1 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,664 Underlying: Common Stock · 61,664 shares Expires 2021-08-01 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 |
| April 18, 2011 Filed Apr 19, 2011 20:02 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionNonqualified Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $14.59 | $0.00 |
DisclosureSEC source: 0001225208-11-011961 · doc4.xml · derivative · entry 4 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,112 Underlying: Common Stock · 10,000 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 |
| April 18, 2011 Filed Apr 19, 2011 20:02 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 10,000 | $17.90 | $179,000.00 |
DisclosureSEC source: 0001225208-11-011961 · 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: 25,295 Read SEC document |
| April 18, 2011 Filed Apr 19, 2011 20:02 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Exercise / conversionCommon Stock | 10,000 | $14.59 | $145,859.00 |
DisclosureSEC source: 0001225208-11-011961 · 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: 35,295 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, 2011 Filed Mar 3, 2011 20:35 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 52,839 | $0.00 Strike: $18.66 | $0.00 |
DisclosureSEC source: 0001225208-11-008485 · doc4.xml · derivative · entry 1 Clendening John S · CIK 0001388961 · EVP-Shared Strategic Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,839 Underlying: Common Stock · 52,839 shares Expires 2021-03-01 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.