Jeffrey M Lyons — SEC Insider Profile, Roles & Companies

Insider at

SCHW selling Dec. 16, 2004

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 6 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

6 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Dec. 16, 2004	SCHW	S 10b5-1	25,000	$11.90	$297,500	369,501 Indirect	-6.34%	Disposed	712.6% (price as of 2026-10-02)
Nov. 30, 2004	SCHW	M	25,314	$3.35	$84,802	392,815 Indirect	+6.89%	Acquired	2786.6% (price as of 2026-10-02)
Nov. 30, 2004	SCHW	M	27,000	$5.80	$156,600	419,815 Indirect	+6.87%	Acquired	1567.2% (price as of 2026-10-02)
Nov. 30, 2004	SCHW	S	5,100	$10.85	$55,335	414,715 Indirect	-1.21%	Disposed	791.2% (price as of 2026-10-02)
Nov. 30, 2004	SCHW	S	500	$10.76	$5,380	414,215 Indirect	-0.12%	Disposed	798.7% (price as of 2026-10-02)
Nov. 30, 2004	SCHW	S	10,700	$10.75	$115,025	403,515 Indirect	-2.58%	Disposed	799.5% (price as of 2026-10-02)
Nov. 30, 2004	SCHW	S	9,014	$10.74	$96,810	394,501 Indirect	-2.23%	Disposed	800.4% (price as of 2026-10-02)
Nov. 30, 2004	SCHW	M	25,314	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Nov. 30, 2004	SCHW	M	27,000	·	·	0 Direct	-100.00%	Disposed	(price as of 2026-10-02)
Nov. 29, 2004	SCHW	S	10,500	$10.95	$114,975	382,001 Indirect	-2.68%	Disposed	783.1% (price as of 2026-10-02)
Nov. 29, 2004	SCHW	S	14,500	$10.96	$158,920	367,501 Indirect	-3.80%	Disposed	782.3% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	1,100	$10.37	$11,407	416,401 Indirect	-0.26%	Disposed	832.5% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	400	$10.39	$4,156	416,001 Indirect	-0.10%	Disposed	830.7% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	2,400	$10.40	$24,960	413,601 Indirect	-0.58%	Disposed	829.8% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	800	$10.41	$8,328	412,801 Indirect	-0.19%	Disposed	828.9% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	3,300	$10.42	$34,386	409,501 Indirect	-0.80%	Disposed	828.0% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	2,800	$10.43	$29,204	406,701 Indirect	-0.68%	Disposed	827.1% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	2,200	$10.44	$22,968	404,501 Indirect	-0.54%	Disposed	826.2% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	3,000	$10.45	$31,350	401,501 Indirect	-0.74%	Disposed	825.4% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	2,600	$10.46	$27,196	398,901 Indirect	-0.65%	Disposed	824.5% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	500	$10.47	$5,235	398,401 Indirect	-0.13%	Disposed	823.6% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	1,600	$10.48	$16,768	396,801 Indirect	-0.40%	Disposed	822.7% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	900	$10.49	$9,441	395,901 Indirect	-0.23%	Disposed	821.8% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	1,100	$10.50	$11,550	394,801 Indirect	-0.28%	Disposed	821.0% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	1,700	$10.52	$17,884	393,101 Indirect	-0.43%	Disposed	819.2% (price as of 2026-10-02)
Nov. 16, 2004	SCHW	S	600	$10.53	$6,318	392,501 Indirect	-0.15%	Disposed	818.3% (price as of 2026-10-02)
Sept. 30, 2004	SCHW	A	228,103	·	·	228,103 Direct	·	Acquired	(price as of 2026-10-02)
July 26, 2004	SCHW	A	117,028	·	·	138,068 Direct	+556.22%	Acquired	(price as of 2026-10-02)

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
Nov. 30, 2004	SCHW	Non-Qualified Stock Option (Right to Buy)	Common Stock (25,314)	$3.35	Dec. 17, 2005	25,314	Disposed
Nov. 30, 2004	SCHW	Incentive Stock Option (Right to Buy)	Common Stock (27,000)	$5.80	Feb. 26, 2007	27,000	Disposed
Sept. 30, 2004	SCHW	Non-Qualified Stock Option (Right to Buy)	Common Stock (228,103)	$9.19	Sept. 30, 2011	228,103	Acquired

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

Initial ownership (Form 3) 26 holdings

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

Date	Ticker	Security	Shares	Ownership
July 7, 2004	SCHW	Common Stock	21,040	Direct
July 7, 2004	SCHW	Common Stock	417,501	Indirect
July 7, 2004	SCHW	Common Stock	22,348	Indirect
July 7, 2004	SCHW	Common Stock	234,405	Indirect
July 7, 2004	SCHW	Common Stock	9,531	Indirect
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (25,314)	25,314	Direct
July 7, 2004	SCHW	Incentive Stock Options→ Common Stock (27,000)	27,000	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (27,000)	27,000	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (20,250)	20,250	Direct
July 7, 2004	SCHW	Incentive Stock Options→ Common Stock (20,250)	20,250	Direct
July 7, 2004	SCHW	Incentive Stock Options→ Common Stock (7,917)	7,917	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (13,083)	13,083	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (7,500)	7,500	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (16,500)	16,500	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (8,000)	8,000	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (50,000)	50,000	Direct
July 7, 2004	SCHW	Incentive Stock Options→ Common Stock (5,500)	5,500	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (5,500)	5,500	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (4,000)	4,000	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (85,000)	85,000	Direct
July 7, 2004	SCHW	Incentive Stock Options→ Common Stock (5,662)	5,662	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (26,338)	26,338	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (23,400)	23,400	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (18,750)	18,750	Direct
July 7, 2004	SCHW	Incentive Stock Options→ Common Stock (6,250)	6,250	Direct
July 7, 2004	SCHW	Non-Qualified Stock Options→ Common Stock (22,500)	22,500	Direct