Jay L Allen

Insider

First SEC filing: Oct. 25, 2007 · Latest: Jan. 24, 2011

On this page

Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

SCHW selling June 11, 2015

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 71 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

71 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
June 11, 2015	SCHW	M	6,004	—	—	18,012 Direct	-25.00%	Disposed	(price as of 2026-08-20)
June 11, 2015	SCHW	S 10b5-1	6,004	$33.62	$201,854	5,654 Indirect	-51.50%	Disposed	230.4% (price as of 2026-08-20)
June 11, 2015	SCHW	M	6,004	$23.12	$138,812	11,658 Indirect	+106.19%	Acquired	380.4% (price as of 2026-08-20)
March 9, 2015	SCHW	S 10b5-1	3,005	$31.00	$93,155	5,654 Indirect	-34.70%	Disposed	258.3% (price as of 2026-08-20)
March 6, 2015	SCHW	S 10b5-1	8,397	$30.75	$258,208	8,659 Indirect	-49.23%	Disposed	261.2% (price as of 2026-08-20)
March 3, 2015	SCHW	M	3,005	$29.95	$90,000	17,056 Indirect	+21.39%	Acquired	270.9% (price as of 2026-08-20)
March 2, 2015	SCHW	A	66,186	—	—	66,186 Direct	—	Acquired	(price as of 2026-08-20)
March 2, 2015	SCHW	M	10,089	—	—	20,178 Direct	-33.33%	Disposed	(price as of 2026-08-20)
March 2, 2015	SCHW	M	8,264	—	—	8,265 Direct	-50.00%	Disposed	(price as of 2026-08-20)
March 2, 2015	SCHW	M	7,926	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
March 2, 2015	SCHW	S 10b5-1	10,089	$29.85	$301,157	14,051 Indirect	-41.79%	Disposed	272.1% (price as of 2026-08-20)
March 2, 2015	SCHW	S 10b5-1	8,264	$29.36	$242,631	24,140 Indirect	-25.50%	Disposed	278.3% (price as of 2026-08-20)
March 2, 2015	SCHW	S 10b5-1	7,926	$30.15	$238,969	32,404 Indirect	-19.65%	Disposed	268.4% (price as of 2026-08-20)
March 2, 2015	SCHW	M	7,926	$18.66	$147,899	40,330 Indirect	+24.46%	Acquired	495.3% (price as of 2026-08-20)
March 2, 2015	SCHW	M	8,264	$13.91	$114,952	32,404 Indirect	+34.23%	Acquired	698.5% (price as of 2026-08-20)
March 2, 2015	SCHW	M	8,397	$29.77	$249,979	24,140 Indirect	+53.34%	Acquired	273.1% (price as of 2026-08-20)
March 2, 2015	SCHW	M	10,089	$16.40	$165,460	15,743 Indirect	+178.44%	Acquired	577.3% (price as of 2026-08-20)
Nov. 6, 2014	SCHW	S 10b5-1	2,267	$28.69	$65,040	5,654 Indirect	-28.62%	Disposed	287.2% (price as of 2026-08-20)
Nov. 6, 2014	SCHW	S 10b5-1	1,742	$28.70	$49,995	7,921 Indirect	-18.03%	Disposed	287.0% (price as of 2026-08-20)
Nov. 3, 2014	SCHW	A	20,782	—	—	20,782 Direct	—	Acquired	(price as of 2026-08-20)
Nov. 3, 2014	SCHW	M	10,000	—	—	20,000 Direct	-33.33%	Disposed	(price as of 2026-08-20)
Nov. 3, 2014	SCHW	M	10,367	—	—	10,368 Direct	-50.00%	Disposed	(price as of 2026-08-20)
Nov. 3, 2014	SCHW	M	8,286	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Nov. 3, 2014	SCHW	S 10b5-1	10,367	$28.58	$296,289	9,663 Indirect	-51.76%	Disposed	288.6% (price as of 2026-08-20)
Nov. 3, 2014	SCHW	S 10b5-1	10,000	$28.58	$285,800	20,030 Indirect	-33.30%	Disposed	288.6% (price as of 2026-08-20)
Nov. 3, 2014	SCHW	S 10b5-1	8,286	$28.64	$237,311	30,030 Indirect	-21.63%	Disposed	287.8% (price as of 2026-08-20)
Nov. 3, 2014	SCHW	M	4,009	$28.59	$114,617	38,316 Indirect	+11.69%	Acquired	288.5% (price as of 2026-08-20)
Nov. 3, 2014	SCHW	M	8,286	$15.43	$127,853	34,307 Indirect	+31.84%	Acquired	619.9% (price as of 2026-08-20)
Nov. 3, 2014	SCHW	M	10,000	$13.64	$136,400	26,021 Indirect	+62.42%	Acquired	714.3% (price as of 2026-08-20)
Nov. 3, 2014	SCHW	M	10,367	$11.75	$121,812	16,021 Indirect	+183.36%	Acquired	845.3% (price as of 2026-08-20)
Aug. 20, 2014	SCHW	M	6,470	—	—	19,410 Direct	-25.00%	Disposed	(price as of 2026-08-20)
Aug. 20, 2014	SCHW	S 10b5-1	6,470	$28.39	$183,683	5,654 Indirect	-53.37%	Disposed	291.2% (price as of 2026-08-20)
Aug. 20, 2014	SCHW	M	6,470	$22.67	$146,675	12,124 Indirect	+114.43%	Acquired	390.0% (price as of 2026-08-20)
Aug. 4, 2014	SCHW	M	8,132	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Aug. 4, 2014	SCHW	S 10b5-1	8,132	$27.44	$223,142	5,654 Indirect	-58.99%	Disposed	304.8% (price as of 2026-08-20)
Aug. 4, 2014	SCHW	M	8,132	$15.00	$121,980	13,786 Indirect	+143.83%	Acquired	640.5% (price as of 2026-08-20)
Aug. 1, 2014	SCHW	A	22,462	—	—	22,462 Direct	—	Acquired	(price as of 2026-08-20)
Aug. 1, 2014	SCHW	M	10,444	—	—	20,888 Direct	-33.33%	Disposed	(price as of 2026-08-20)
Aug. 1, 2014	SCHW	M	9,249	—	—	9,250 Direct	-50.00%	Disposed	(price as of 2026-08-20)
Aug. 1, 2014	SCHW	S 10b5-1	10,444	$27.51	$287,314	5,654 Indirect	-64.88%	Disposed	303.8% (price as of 2026-08-20)
Aug. 1, 2014	SCHW	S 10b5-1	9,249	$27.51	$254,440	16,098 Indirect	-36.49%	Disposed	303.8% (price as of 2026-08-20)
Aug. 1, 2014	SCHW	M	9,249	$15.05	$139,197	25,347 Indirect	+57.45%	Acquired	638.0% (price as of 2026-08-20)
Aug. 1, 2014	SCHW	M	10,444	$12.45	$130,028	16,098 Indirect	+184.72%	Acquired	792.2% (price as of 2026-08-20)
March 19, 2014	SCHW	S 10b5-1	5,000	$27.50	$137,500	5,654 Indirect	-46.93%	Disposed	303.9% (price as of 2026-08-20)
March 6, 2014	SCHW	S 10b5-1	4,808	$27.00	$129,816	10,654 Indirect	-31.10%	Disposed	311.4% (price as of 2026-08-20)
March 6, 2014	SCHW	S 10b5-1	3,589	$27.01	$96,939	15,462 Indirect	-18.84%	Disposed	311.2% (price as of 2026-08-20)
March 3, 2014	SCHW	A	23,742	—	—	23,742 Direct	—	Acquired	(price as of 2026-08-20)
March 3, 2014	SCHW	M	10,089	—	—	30,267 Direct	-25.00%	Disposed	(price as of 2026-08-20)
March 3, 2014	SCHW	M	8,265	—	—	16,529 Direct	-33.33%	Disposed	(price as of 2026-08-20)
March 3, 2014	SCHW	M	7,926	—	—	7,926 Direct	-50.00%	Disposed	(price as of 2026-08-20)
March 3, 2014	SCHW	M	7,023	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
March 3, 2014	SCHW	S 10b5-1	10,089	$25.93	$261,608	19,051 Indirect	-34.62%	Disposed	328.4% (price as of 2026-08-20)
March 3, 2014	SCHW	S 10b5-1	8,265	$25.93	$214,311	29,140 Indirect	-22.10%	Disposed	328.4% (price as of 2026-08-20)
March 3, 2014	SCHW	S 10b5-1	7,926	$25.93	$205,521	37,405 Indirect	-17.48%	Disposed	328.4% (price as of 2026-08-20)
March 3, 2014	SCHW	S 10b5-1	7,023	$25.93	$182,106	45,331 Indirect	-13.41%	Disposed	328.4% (price as of 2026-08-20)
March 3, 2014	SCHW	M	7,023	$18.25	$128,170	52,354 Indirect	+15.49%	Acquired	508.6% (price as of 2026-08-20)
March 3, 2014	SCHW	M	7,926	$18.66	$147,899	45,331 Indirect	+21.19%	Acquired	495.3% (price as of 2026-08-20)
March 3, 2014	SCHW	M	8,265	$13.91	$114,966	37,405 Indirect	+28.36%	Acquired	698.5% (price as of 2026-08-20)
March 3, 2014	SCHW	M	10,089	$16.40	$165,460	29,140 Indirect	+52.96%	Acquired	577.3% (price as of 2026-08-20)
March 3, 2014	SCHW	M	11,373	$25.96	$295,243	19,051 Indirect	+148.12%	Acquired	327.9% (price as of 2026-08-20)
Dec. 11, 2013	SCHW	M	7,813	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 11, 2013	SCHW	S 10b5-1	7,813	$25.10	$196,106	7,467 Indirect	-51.13%	Disposed	342.5% (price as of 2026-08-20)
Dec. 11, 2013	SCHW	M	7,813	$23.33	$182,277	15,280 Indirect	+104.63%	Acquired	376.1% (price as of 2026-08-20)
Dec. 9, 2013	SCHW	M	17,202	—	—	7,813 Direct	-68.77%	Disposed	(price as of 2026-08-20)
Dec. 9, 2013	SCHW	M	10,651	—	—	15,852 Direct	-40.19%	Disposed	(price as of 2026-08-20)
Dec. 9, 2013	SCHW	S 10b5-1	27,853	$25.06	$697,996	7,467 Indirect	-78.86%	Disposed	343.2% (price as of 2026-08-20)
Dec. 9, 2013	SCHW	S 10b5-1	2,979	$25.03	$74,564	35,320 Indirect	-7.78%	Disposed	343.8% (price as of 2026-08-20)
Dec. 9, 2013	SCHW	M	10,651	$18.66	$198,748	38,299 Indirect	+38.52%	Acquired	495.3% (price as of 2026-08-20)
Dec. 9, 2013	SCHW	M	17,202	$23.33	$401,323	27,648 Indirect	+164.68%	Acquired	376.1% (price as of 2026-08-20)
Dec. 6, 2013	SCHW	M	500	—	—	26,503 Direct	-1.85%	Disposed	(price as of 2026-08-20)
Dec. 6, 2013	SCHW	S 10b5-1	500	$24.97	$12,485	10,446 Indirect	-4.57%	Disposed	344.8% (price as of 2026-08-20)
Dec. 6, 2013	SCHW	M	500	$18.66	$9,330	10,946 Indirect	+4.79%	Acquired	495.3% (price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	81,947	$19.36	$1,586,494	98,423 Indirect	+497.37%	Acquired	473.7% (price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	79,067	$17.38	$1,374,184	177,490 Indirect	+80.33%	Acquired	539.1% (price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	26,049	$22.65	$590,010	203,539 Indirect	+14.68%	Acquired	390.4% (price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	21,067	$18.25	$384,473	224,606 Indirect	+10.35%	Acquired	508.6% (price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	81,947	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	79,067	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	26,049	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	1,100	—	—	25,015 Direct	-4.21%	Disposed	(price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	4,700	—	—	27,003 Direct	-14.83%	Disposed	(price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	21,067	—	—	7,023 Direct	-75.00%	Disposed	(price as of 2026-08-20)
Dec. 2, 2013	SCHW	S 10b5-1	213,930	$24.93	$5,333,275	10,446 Indirect	-95.34%	Disposed	345.5% (price as of 2026-08-20)
Dec. 2, 2013	SCHW	S 10b5-1	6,030	$24.91	$150,207	224,376 Indirect	-2.62%	Disposed	345.9% (price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	1,100	$23.33	$25,663	230,406 Indirect	+0.48%	Acquired	376.1% (price as of 2026-08-20)
Dec. 2, 2013	SCHW	M	4,700	$18.66	$87,702	229,306 Indirect	+2.09%	Acquired	495.3% (price as of 2026-08-20)
Nov. 5, 2013	SCHW	M	10,000	—	—	30,000 Direct	-25.00%	Disposed	(price as of 2026-08-20)
Nov. 5, 2013	SCHW	M	10,368	—	—	20,735 Direct	-33.33%	Disposed	(price as of 2026-08-20)
Nov. 5, 2013	SCHW	M	8,286	—	—	8,286 Direct	-50.00%	Disposed	(price as of 2026-08-20)
Nov. 5, 2013	SCHW	S	28,654	$23.05	$660,475	16,476 Indirect	-63.49%	Disposed	381.9% (price as of 2026-08-20)
Nov. 5, 2013	SCHW	M	8,286	$15.43	$127,853	45,130 Indirect	+22.49%	Acquired	619.9% (price as of 2026-08-20)
Nov. 5, 2013	SCHW	M	10,000	$13.64	$136,400	36,844 Indirect	+37.25%	Acquired	714.3% (price as of 2026-08-20)
Nov. 5, 2013	SCHW	M	10,368	$11.75	$121,824	26,844 Indirect	+62.93%	Acquired	845.3% (price as of 2026-08-20)
Nov. 1, 2013	SCHW	A	24,016	—	—	24,016 Direct	—	Acquired	(price as of 2026-08-20)
Nov. 1, 2013	SCHW	A	4,009	—	—	16,476 Indirect	+32.16%	Acquired	(price as of 2026-08-20)
Oct. 16, 2013	SCHW	M	10,367	—	—	31,103 Direct	-25.00%	Disposed	(price as of 2026-08-20)
Oct. 16, 2013	SCHW	M	16,572	—	—	16,572 Direct	-50.00%	Disposed	(price as of 2026-08-20)
Oct. 16, 2013	SCHW	M	24,396	—	—	8,132 Direct	-75.00%	Disposed	(price as of 2026-08-20)
Oct. 16, 2013	SCHW	M	10,444	—	—	31,332 Direct	-25.00%	Disposed	(price as of 2026-08-20)
Oct. 16, 2013	SCHW	M	18,499	—	—	18,499 Direct	-50.00%	Disposed	(price as of 2026-08-20)

Showing latest 100 of 152 transactions

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
June 11, 2015	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (6,004)	$23.12	Nov. 1, 2023	6,004	Disposed
March 2, 2015	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (66,186)	$30.17	March 2, 2025	66,186	Acquired
March 2, 2015	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,089)	$16.40	March 1, 2023	10,089	Disposed
March 2, 2015	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (8,264)	$13.91	March 1, 2022	8,264	Disposed
March 2, 2015	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (7,926)	$18.66	March 1, 2021	7,926	Disposed
Nov. 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (20,782)	$28.44	Nov. 3, 2024	20,782	Acquired
Nov. 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,000)	$13.64	Nov. 1, 2022	10,000	Disposed
Nov. 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,367)	$11.75	Nov. 1, 2021	10,367	Disposed
Nov. 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (8,286)	$15.43	Nov. 1, 2020	8,286	Disposed
Aug. 20, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (6,470)	$22.67	Aug. 1, 2023	6,470	Disposed
Aug. 4, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (8,132)	$15.00	Aug. 2, 2020	8,132	Disposed
Aug. 1, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (22,462)	$27.45	Aug. 1, 2024	22,462	Acquired
Aug. 1, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,444)	$12.45	Aug. 1, 2022	10,444	Disposed
Aug. 1, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (9,249)	$15.05	Aug. 1, 2021	9,249	Disposed
March 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (23,742)	$25.86	March 3, 2024	23,742	Acquired
March 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,089)	$16.40	March 1, 2023	10,089	Disposed
March 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (8,265)	$13.91	March 1, 2022	8,265	Disposed
March 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (7,926)	$18.66	March 1, 2021	7,926	Disposed
March 3, 2014	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (7,023)	$18.25	March 1, 2020	7,023	Disposed
Dec. 11, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (7,813)	$23.33	Nov. 1, 2014	7,813	Disposed
Dec. 9, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (17,202)	$23.33	Nov. 1, 2014	17,202	Disposed
Dec. 9, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,651)	$18.66	March 1, 2021	10,651	Disposed
Dec. 6, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (500)	$18.66	March 1, 2021	500	Disposed
Dec. 2, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (81,947)	$19.36	Nov. 3, 2018	81,947	Disposed
Dec. 2, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (79,067)	$17.38	Nov. 2, 2019	79,067	Disposed
Dec. 2, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (26,049)	$22.65	Nov. 1, 2014	26,049	Disposed
Dec. 2, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (1,100)	$23.33	Nov. 1, 2014	1,100	Disposed
Dec. 2, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (4,700)	$18.66	March 1, 2021	4,700	Disposed
Dec. 2, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (21,067)	$18.25	March 1, 2020	21,067	Disposed
Nov. 5, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,000)	$13.64	Nov. 1, 2022	10,000	Disposed
Nov. 5, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,368)	$11.75	Nov. 1, 2021	10,368	Disposed
Nov. 5, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (8,286)	$15.43	Nov. 1, 2020	8,286	Disposed
Nov. 1, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (24,016)	$23.12	Nov. 1, 2023	24,016	Acquired
Oct. 16, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,367)	$11.75	Nov. 1, 2021	10,367	Disposed
Oct. 16, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (16,572)	$15.43	Nov. 1, 2020	16,572	Disposed
Oct. 16, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (24,396)	$15.00	Aug. 2, 2020	24,396	Disposed
Oct. 16, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (10,444)	$12.45	Aug. 1, 2022	10,444	Disposed
Oct. 16, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (18,499)	$15.05	Aug. 1, 2021	18,499	Disposed
Oct. 16, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (8,264)	$13.91	March 1, 2022	8,264	Disposed
Aug. 1, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (25,880)	$22.67	Aug. 1, 2023	25,880	Acquired
May 17, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (21,262)	$18.29	Oct. 30, 2013	21,262	Disposed
March 1, 2013	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (40,356)	$16.40	March 1, 2023	40,356	Acquired
Jan. 29, 2013	SCHW	Incentive Stock Option (right to buy)	Common Stock (2,622)	$8.93	April 23, 2013	2,622	Disposed
Nov. 21, 2012	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (2,622)	$8.93	April 23, 2013	2,622	Disposed
Nov. 1, 2012	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (40,000)	$13.64	Nov. 1, 2022	40,000	Acquired
Aug. 1, 2012	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (41,776)	$12.45	Aug. 1, 2022	41,776	Acquired
March 1, 2012	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (33,058)	$13.91	March 1, 2022	33,058	Acquired
Nov. 1, 2011	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (41,470)	$11.75	Nov. 1, 2021	41,470	Acquired
Aug. 1, 2011	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (36,998)	$15.05	Aug. 1, 2021	36,998	Acquired
March 1, 2011	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (31,703)	$18.66	March 1, 2021	31,703	Acquired
Dec. 17, 2010	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (14,246)	$8.76	Sept. 30, 2011	14,246	Disposed
Dec. 16, 2010	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (3,300)	$8.76	Sept. 30, 2011	3,300	Disposed
Dec. 8, 2010	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (17,545)	$8.76	Sept. 30, 2011	17,545	Disposed
Dec. 2, 2010	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (17,545)	$8.76	Sept. 30, 2011	17,545	Disposed
March 1, 2010	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (28,090)	$18.25	March 1, 2020	28,090	Acquired
Nov. 2, 2009	SCHW	Nonqualified Stock Option (right to buy)	Common Stock (79,067)	$17.38	Nov. 2, 2019	79,067	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 5 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Oct. 25, 2007	SCHW	Common Stock	15,931	Direct
Oct. 25, 2007	SCHW	Nonqualified Stock Option (Right to buy)→ Common Stock	—	Direct
Oct. 25, 2007	SCHW	Incentive Stock Option (Right to buy)→ Common Stock	—	Direct
Oct. 25, 2007	SCHW	Nonqualified Stock Option (Right to buy)→ Common Stock	—	Direct
Oct. 25, 2007	SCHW	Nonqualified Stock Option (Right to buy)→ Common Stock	—	Direct