Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AssetMark Financial Holdings, Inc.AMK · Entity 87718 | Director · Chief Executive Officer | June 09, 2020 | November 19, 2020 |
| FinTech Evolution Acquisition GroupFTEV.U · Entity 141466 | Director | March 01, 2021 | March 01, 2021 |
| SCHWAB CHARLES CORPSCHW · Entity 1218 | EVP/COO, Schwab Institutional | November 17, 2008 | November 24, 2008 |
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.
AssetMark Financial Holdings, Inc.
Report date June 09, 2020 · Filed November 19, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,023,512 |
Reported balance
After 2020-06-09 transaction · row 1
1 source rowRow 1 · 2020-06-09 · Grant · Acquired 10,315 · Balance 2,023,512 F1: Consists of restricted stock units that vest in four equal annual installments on the first four anniversaries of the date of grant and settle in shares of common stock of the issuer. |
| Stock Appreciation RightSEC Table II · derivative / convertible security · Conversion / exercise price $28.48 · Expires 2030-06-09 | Direct | 88,415 |
Reported balance
After 2020-06-09 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-06-09 · Grant · Acquired 88,415 · Balance 88,415 F2: The stock appreciation right vests in four equal annual installments on the first four anniversaries of the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of restricted stock units that vest in four equal annual installments on the first four anniversaries of the date of grant and settle in shares of common stock of the issuer.
F2: The stock appreciation right vests in four equal annual installments on the first four anniversaries of the date of grant.
FinTech Evolution Acquisition Group
Report date March 01, 2021 · Filed March 01, 2021
This filing explicitly reported no securities owned.
SCHWAB CHARLES CORP
Report date November 17, 2008 · Filed November 24, 2008
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 47,487 |
Reported balance
After 2008-11-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2008-11-17 · Tax withholding · Disposed 1,595 · Balance 47,487 F1: The reporting person also has an indirect beneficial ownership interest in 2,537 shares held in trust and 729 shares held through an employee stock purchase plan. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person also has an indirect beneficial ownership interest in 2,537 shares held in trust and 729 shares held through an employee stock purchase plan.
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 |
|---|---|---|---|---|---|---|
| April 30, 2020 Filed May 4, 2020 19:36 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 7,063 | $23.69 | $167,322.47 |
DisclosureSEC source: 0001209191-20-026932 · doc4.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,319,191 F1 · price: These transactions were executed in multiple trades at prices ranging from $22.95 to $23.92. The price reported above 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 |
| April 29, 2020 Filed Apr 29, 2020 20:13 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 12,494 | $23.85 | $297,981.90 |
DisclosureSEC source: 0001209191-20-026234 · doc4.xml · nonDerivative · entry 4 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,326,254 F4 · price: These transactions were executed in multiple trades at prices ranging from $23.60 to $24.08. The price reported above 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 |
| April 29, 2020 Filed Apr 29, 2020 20:13 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 16,824 | $23.14 | $389,307.36 |
DisclosureSEC source: 0001209191-20-026234 · doc4.xml · nonDerivative · entry 3 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,338,748 F3 · price: These transactions were executed in multiple trades at prices ranging from $22.60 to $23.59. The price reported above 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 |
| April 28, 2020 Filed Apr 29, 2020 20:13 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 11,160 | $22.27 | $248,533.20 |
DisclosureSEC source: 0001209191-20-026234 · doc4.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,355,572 F2 · price: These transactions were executed in multiple trades at prices ranging from $22.00 to $22.65. The price reported above 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 |
| April 27, 2020 Filed Apr 29, 2020 20:13 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 6,320 | $22.64 | $143,084.80 |
DisclosureSEC source: 0001209191-20-026234 · doc4.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,366,732 F1 · price: These transactions were executed in multiple trades at prices ranging from $22.10 to $23.02. The price reported above 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 |
| April 24, 2020 Filed Apr 24, 2020 17:35 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 4,115 | $22.21 | $91,394.15 |
DisclosureSEC source: 0001209191-20-025662 · doc4.xml · nonDerivative · entry 3 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,373,052 F2 · price: These transactions were executed in multiple trades at prices ranging from $22.00 to $22.46. The price reported above 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 |
| April 23, 2020 Filed Apr 24, 2020 17:35 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 23,411 | $22.15 | $518,553.65 |
DisclosureSEC source: 0001209191-20-025662 · doc4.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,377,167 F1 · price: These transactions were executed in multiple trades at prices ranging from $22.00 to $22.64. The price reported above 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 |
| April 22, 2020 Filed Apr 24, 2020 17:35 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 63 | $22.04 | $1,388.52 |
DisclosureSEC source: 0001209191-20-025662 · doc4.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,400,578 Read SEC document |
| April 17, 2020 Filed Apr 21, 2020 16:36 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 7,040 | $22.09 | $155,513.60 |
DisclosureSEC source: 0001209191-20-025270 · doc4.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,400,641 F1 · price: These transactions were executed in multiple trades at prices ranging from $22.00 to $22.23. The price reported above 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 |
| April 14, 2020 Filed Apr 16, 2020 15:36 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon Stock | 550 | $22.00 | $12,100.00 |
DisclosureSEC source: 0001209191-20-024636 · doc4.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,407,681 Read SEC document |
| April 09, 2020 Filed Apr 10, 2020 17:51 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 3,000 | $22.04 | $66,120.00 |
DisclosureSEC source: 0000950103-20-007332 · dp125995_4-goldman.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,408,231 F2 · price: These transactions were executed in multiple trades at prices ranging from $22.00 to $22.18. The price reported above 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 |
| April 08, 2020 Filed Apr 10, 2020 17:51 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 1,200 | $22.00 | $26,400.00 |
DisclosureSEC source: 0000950103-20-007332 · dp125995_4-goldman.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,411,231 F1 · price: These transactions were executed in multiple trades at prices ranging from $22.00 to $22.01. The price reported above 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 11, 2020 Filed Mar 12, 2020 19:59 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 6,330 | $22.22 | $140,652.60 |
DisclosureSEC source: 0000950103-20-005199 · dp123822_4-goldman.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,412,431 F2 · price: These transactions were executed in multiple trades at prices ranging from $22.01 to $22.50. The price reported above 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 10, 2020 Filed Mar 12, 2020 19:59 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 8,733 | $22.78 | $198,937.74 |
DisclosureSEC source: 0000950103-20-005199 · dp123822_4-goldman.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,418,761 F1 · price: These transactions were executed in multiple trades at prices ranging from $22.48 to $23.32. The price reported above 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 09, 2020 Filed Mar 9, 2020 20:20 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 3,460 | $24.36 | $84,285.60 |
DisclosureSEC source: 0000950103-20-004965 · dp123619_4-goldman.xml · nonDerivative · entry 5 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,427,494 F5 · price: These transactions were executed in multiple trades at prices ranging from $24.26 to $24.61. The price reported above 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 09, 2020 Filed Mar 9, 2020 20:20 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 6,840 | $23.60 | $161,424.00 |
DisclosureSEC source: 0000950103-20-004965 · dp123619_4-goldman.xml · nonDerivative · entry 4 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,430,954 F4 · price: These transactions were executed in multiple trades at prices ranging from $23.11 to $24.09. The price reported above 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 09, 2020 Filed Mar 9, 2020 20:20 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 8,874 | $22.66 | $201,084.84 |
DisclosureSEC source: 0000950103-20-004965 · dp123619_4-goldman.xml · nonDerivative · entry 3 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,437,794 F3 · price: These transactions were executed in multiple trades at prices ranging from $22.11 to $23.10. The price reported above 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 06, 2020 Filed Mar 9, 2020 20:20 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 13,413 | $25.30 | $339,348.90 |
DisclosureSEC source: 0000950103-20-004965 · dp123619_4-goldman.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,446,668 F2 · price: These transactions were executed in multiple trades at prices ranging from $25.00 to $25.75. The price reported above 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 05, 2020 Filed Mar 9, 2020 20:20 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 4,700 | $25.95 | $121,965.00 |
DisclosureSEC source: 0000950103-20-004965 · dp123619_4-goldman.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,460,081 F1 · price: These transactions were executed in multiple trades at prices ranging from $25.55 to $26.28. The price reported above 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 04, 2020 Filed Mar 4, 2020 20:32 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 2,618 | $27.16 | $71,104.88 |
DisclosureSEC source: 0000950103-20-004654 · dp123306_4-goldman.xml · nonDerivative · entry 5 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,464,781 F5 · price: These transactions were executed in multiple trades at prices ranging from $27.00 to $27.47. The price reported above 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 04, 2020 Filed Mar 4, 2020 20:32 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 3,142 | $26.56 | $83,451.52 |
DisclosureSEC source: 0000950103-20-004654 · dp123306_4-goldman.xml · nonDerivative · entry 4 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,467,399 F4 · price: These transactions were executed in multiple trades at prices ranging from $26.00 to $26.99. The price reported above 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 03, 2020 Filed Mar 4, 2020 20:32 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 8,727 | $26.35 | $229,956.45 |
DisclosureSEC source: 0000950103-20-004654 · dp123306_4-goldman.xml · nonDerivative · entry 3 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,470,541 F3 · price: These transactions were executed in multiple trades at prices ranging from $26.11 to $26.58. The price reported above 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 02, 2020 Filed Mar 4, 2020 20:32 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 2,710 | $26.16 | $70,893.60 |
DisclosureSEC source: 0000950103-20-004654 · dp123306_4-goldman.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,479,268 F2 · price: These transactions were executed in multiple trades at prices ranging from $26.02 to $26.40. The price reported above 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 02, 2020 Filed Mar 4, 2020 20:32 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | SaleCommon stock | 2,149 | $25.47 | $54,735.03 |
DisclosureSEC source: 0000950103-20-004654 · dp123306_4-goldman.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,481,978 F1 · price: These transactions were executed in multiple trades at prices ranging from $25.02 to $26.01. The price reported above 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 17, 2019 Filed Jul 19, 2019 20:54 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | GrantEmployee Stock Option (right to buy) · Derivative | 284,605 | $0.00 Strike: $22.00 | $0.00 |
DisclosureSEC source: 0000950103-19-009518 · dp109938_4-goldman.xml · derivative · entry 3 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,605 Underlying: Common stock · 284,605 shares Expires 2029-07-17 F4 · derivative.exercise_date: This option vests in three equal annual installments beginning on July 19, 2020. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 20:54 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | OtherCommon stock | 310,608 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-19-009518 · dp109938_4-goldman.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC / trust Disclosed balance after: 310,608 F1 · kind: Received in a distribution by AssetMark Holdings LLC ("AH LLC") to its members on a pro-rata basis in respect of their respective interests in AH LLC, for no consideration. F2 · shares: Includes shares subject to a Share Restriction Agreement with the Issuer that provides for transfer of all or a portion of the shares to the Issuer in the event of termination of employment prior to designated release dates. F3 · ownership.nature: Reflects securities held by an LLC of which the reporting person is the manager. The sole member of the LLC is a revocable trust of which the reporting person is the settlor. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 20:54 UTC | AssetMark Financial Holdings, Inc. AMK · Entity 87718 | OtherCommon stock | 2,484,127 | $0.00 | $0.00 |
DisclosureSEC source: 0000950103-19-009518 · dp109938_4-goldman.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,484,127 F1 · kind: Received in a distribution by AssetMark Holdings LLC ("AH LLC") to its members on a pro-rata basis in respect of their respective interests in AH LLC, for no consideration. F2 · shares: Includes shares subject to a Share Restriction Agreement with the Issuer that provides for transfer of all or a portion of the shares to the Issuer in the event of termination of employment prior to designated release dates. Read SEC document |
| November 17, 2008 Filed Nov 24, 2008 21:47 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 1,595 | $19.19 | $30,613.31 |
DisclosureSEC source: 0001311478-08-000005 · edgar.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,487 F1 · balance_after: The reporting person also has an indirect beneficial ownership interest in 2,537 shares held in trust and 729 shares held through an employee stock purchase plan. Read SEC document |
| November 03, 2008 Filed Nov 5, 2008 17:49 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (Right to buy) · Derivative | 133,163 | $0.00 Strike: $19.36 | $0.00 |
DisclosureSEC source: 0001311478-08-000004 · edgar.xml · derivative · entry 3 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,163 Underlying: Common Stock · 133,163 shares Expires 2018-11-03 F3 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of ten years. Read SEC document |
| November 03, 2008 Filed Nov 5, 2008 17:49 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 13,563 | $19.17 | $260,002.71 |
DisclosureSEC source: 0001311478-08-000004 · edgar.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,082 F1 · shares: The restricted stock awards vest in increments of 25% on the first, second, third and fourth anniversary of the date of grant based on the company achieving a performance target related to pre-tax adjusted income divided by revenue and revenue growth for the one-year performance period ending on each September 30 preceding the vesting date. F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 2,537 shares held in trust and 729 shares held through an employee stock purchase plan. Read SEC document |
| November 01, 2008 Filed Nov 5, 2008 17:49 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 1,256 | $19.19 | $24,106.78 |
DisclosureSEC source: 0001311478-08-000004 · edgar.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,519 Read SEC document |
| August 29, 2008 Filed Aug 29, 2008 21:26 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 600 | $24.06 | $14,436.00 |
DisclosureSEC source: 0001311478-08-000002 · edgar.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 2,537 F1 · balance_after: The reporting person also has a direct beneficial ownership interest in 36,775 shares of company stock and an indirect beneficial ownership interest in 729 shares held through an employee stock purchase plan. Read SEC document |
| August 29, 2008 Filed Aug 29, 2008 21:26 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 520 | $24.05 | $12,506.00 |
DisclosureSEC source: 0001311478-08-000002 · edgar.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 3,137 Read SEC document |
| November 02, 2007 Filed Nov 5, 2007 22:52 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 10,987 | $0.00 | $0.00 |
DisclosureSEC source: 0001311478-07-000009 · edgar.xml · nonDerivative · entry 2 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,016 F1 · shares: The award vests in increments of 25% on November 1, 2008, 2009, 2010 and 2011 based on the company achieving performance targets related to pre-tax adjusted income divided by revenue and revenue growth for the applicable one-year performance period beginning on October 1 and ending on the September 30 prior to each vesting date. F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 1,416 shares of company stock held by a trust. Read SEC document |
| November 01, 2007 Filed Nov 5, 2007 22:52 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 104,457 | $0.00 Strike: $23.33 | $0.00 |
DisclosureSEC source: 0001311478-07-000009 · edgar.xml · derivative · entry 3 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,457 Underlying: Common Stock · 104,457 shares Expires 2014-11-01 F3 · derivative.exercise_price: Shares under the option have an exercise price of $23.3295, which is 103% of the closing price of the company's common stock on the date of grant ($22.65). F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years. Read SEC document |
| November 01, 2007 Filed Nov 5, 2007 22:52 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 1,246 | $22.81 | $28,420.76 |
DisclosureSEC source: 0001311478-07-000009 · edgar.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,029 Read SEC document |
| October 01, 2007 Filed Oct 2, 2007 21:50 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantNonqualified Stock Option (right to buy) · Derivative | 57,693 | $0.00 Strike: $22.41 | $0.00 |
DisclosureSEC source: 0001311478-07-000008 · edgar.xml · derivative · entry 2 Goldman Charles G · CIK 0001311478 · EVP - Schwab Institutional · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,693 Underlying: Common Stock · 57,693 shares Expires 2014-10-01 F3 · 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 |
| October 01, 2007 Filed Oct 2, 2007 21:50 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | GrantCommon Stock | 15,327 | $22.02 | $337,500.54 |
DisclosureSEC source: 0001311478-07-000008 · edgar.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · EVP - Schwab Institutional · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,275 F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on each of the second and third anniversary of the grant date and 50% on the fourth anniversary of the grant date. F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 1,416 shares of company stock held in trust. Read SEC document |
| April 27, 2007 Filed Apr 27, 2007 21:05 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | SaleCommon Stock | 1,325 | $19.75 | $26,168.75 |
DisclosureSEC source: 0001311478-07-000007 · edgar.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · EVP/COO, Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 1,416 F1 · balance_after: As of the date of this report, the reporting person also has a direct beneficial ownership interest in 13,948 shares of company stock. Read SEC document |
| February 25, 2007 Filed Feb 27, 2007 21:19 UTC | SCHWAB CHARLES CORP SCHW · Entity 1218 | Tax withholdingCommon Stock | 1,475 | $18.96 | $27,967.33 |
DisclosureSEC source: 0001311478-07-000005 · edgar.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · EVP/COO Schwab Institutional 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,599 F1 · balance_after: As of the date of this report, the reporting person also has an indirect beneficial ownership interest in 90 shares held in trust. Read SEC document |
| January 25, 2005 Filed Jan 27, 2005 16:52 UTC | SCHWAB CHARLES CORP SCH · Entity 1218 | SaleCommon Stock | 1,000 | $11.27 | $11,270.00 |
DisclosureSEC source: 0001311478-05-000004 · edgar.xml · nonDerivative · entry 1 Goldman Charles G · CIK 0001311478 · EVP - Strategy and Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Indirect · by Trust Disclosed balance after: 3,125 F1 · balance_after: The reporting person also has a direct beneficial ownership interest in 14,877 shares of company common stock. 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.