XML 58 R39.htm IDEA: XBRL DOCUMENT v3.24.0.1
Insider Trading Arrangements
 3 Months Ended 12 Months Ended
Dec. 31, 2023
shares
Dec. 31, 2023
shares
Trading Arrangements, by Individual    
Material Terms of Trading Arrangement  
During the three months ended December 31, 2023, certain of our directors and officers adopted or terminated trading arrangements for the sale of shares of our common stock as follows:
Plans
ActionDate
Rule 10b5-1 (1)
Non-Rule 10b5-1 (2)
Number of Securities to
be Sold
Latest
Expiration (3)
Jonathan M. Craig, Managing Director and Head of Investor
Services and Marketing
Adoption
10/27/2023x—4,977(4)10/15/2024
Carrie Schwab-Pomerantz, Director
Adoption
11/10/2023x—99,000(5)12/31/2024
Nigel Murtagh, Managing Director and Chief Risk Officer
Adoption
11/24/2023x—12,948(4)10/18/2024
(1) Intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
(2) Not intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
(3) Plans expire at close of trading on the dates presented or such earlier date upon the completion of all trades under the plan (or the expiration of the orders relating to such trades without execution).
(4) Securities to be sold under the plan represent shares to be acquired upon the exercise of stock options. In addition to these shares, the trading arrangement allows for the sale of the net after-tax shares of common stock to be received by the officer upon the March 1, 2024 vesting of performance-based restricted stock units. The actual number of shares that will be released to the officer in connection with the performance-based restricted stock units and sold under the trading arrangement will be net of the number of shares withheld to satisfy tax withholding obligations arising from the vesting of such shares and is not yet determinable.
(5) Includes 39,600 shares to be sold by a trust for which the director’s spouse is a trustee.
Rule 10b5-1 Arrangement Terminated false  
Non-Rule 10b5-1 Arrangement Terminated false  
Jonathan M. Craig [Member]    
Trading Arrangements, by Individual    
Name Jonathan M. Craig  
Title Managing Director and Head of Investor Services and Marketing  
Rule 10b5-1 Arrangement Adopted true  
Non-Rule 10b5-1 Arrangement Adopted false  
Adoption Date 10/27/2023  
Arrangement Duration 354 days  
Aggregate Available 4,977 4,977
Carrie Schwab-Pomerantz [Member]    
Trading Arrangements, by Individual    
Name Carrie Schwab-Pomerantz  
Title Director  
Rule 10b5-1 Arrangement Adopted true  
Non-Rule 10b5-1 Arrangement Adopted false  
Adoption Date 11/10/2023  
Arrangement Duration 417 days  
Nigel Murtagh [Member]    
Trading Arrangements, by Individual    
Name Nigel Murtagh  
Title Managing Director and Chief Risk Officer  
Rule 10b5-1 Arrangement Adopted true  
Non-Rule 10b5-1 Arrangement Adopted false  
Adoption Date 11/24/2023  
Arrangement Duration 329 days  
Aggregate Available 12,948 12,948
Carrie Schwab-Pomerantz Trading Arrangement, Total Shares [Member] | Carrie Schwab-Pomerantz [Member]    
Trading Arrangements, by Individual    
Aggregate Available 99,000 99,000
Carrie Schwab-Pomerantz Trading Arrangement, Shares To Be Sold By Related Party Trust [Member] | Carrie Schwab-Pomerantz [Member]    
Trading Arrangements, by Individual    
Aggregate Available 39,600 39,600