Insider · CIK 0001053120

RICKETTS J JOE

Reports to the SEC for 1 company · DENVER, CO

sec.gov

Transactions

Companies

Filings

CIK

0001053120

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2015-12-18	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	−100K sh	—	—	36,174,906
2014-10-31	TD AMERITRADE HOLDING CORPCall Option (obligation to sell)E Expiration	Member of a 10% owner group	EExpiration	−1 sh	—	—	1
2014-09-22	TD AMERITRADE HOLDING CORPCall Option (obligation to sell)E Expiration	Member of a 10% owner group	EExpiration	−1 sh	—	—	0
2014-09-15	TD AMERITRADE HOLDING CORPCall Option (obligation to sell)E Expiration	Member of a 10% owner group	EExpiration	−1 sh	—	—	0
2014-04-11	TD AMERITRADE HOLDING CORPCall Option (obligation to sellE Expiration	Member of a 10% owner group	EExpiration	−1 sh	—	—	0
2014-03-19	TD AMERITRADE HOLDING CORPCall Option (obligation to sell)S Sale	Member of a 10% owner group	SSale	−1 sh	$3570000.00	−$3.57M	1
2014-03-13	TD AMERITRADE HOLDING CORPCall Option (obligation to sell)S Sale	Member of a 10% owner group	SSale	−1 sh	$4090200.00	−$4.09M	1
2014-03-06	TD AMERITRADE HOLDING CORPCall Option (obligation to sell)S Sale	Member of a 10% owner group	SSale	−1 sh	$3857945.00	−$3.86M	1
2013-12-31	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	−153K sh	—	—	36,274,906
2013-12-31	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	−34.7K sh	—	—	13,873,725
2013-10-08	TD AMERITRADE HOLDING CORPCall Option (obligation to sell)S Sale	Member of a 10% owner group	SSale	−1 sh	$1430945.51	−$1.43M	1
2013-08-05	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	−922K sh	—	—	36,427,408
2013-06-25	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−2.41M sh	$24.00	−$57.9M	37,349,276
2013-06-20	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−1.47M sh	$24.03	−$35.3M	39,855,289
2013-06-19	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−2.5M sh	$24.09	−$60.3M	41,322,843
2013-06-18	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−659K sh	$24.00	−$15.8M	43,824,281
2013-06-17	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−345K sh	$24.00	−$8.27M	44,482,830
2013-06-11	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−534K sh	$24.00	−$12.8M	44,827,414
2013-06-10	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−1.35M sh	$24.01	−$32.4M	45,361,329
2013-06-07	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−1.1M sh	$24.00	−$26.3M	46,709,263
2013-05-31	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−67.9K sh	$24.00	−$1.63M	47,805,573
2013-05-30	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−320K sh	$24.00	−$7.69M	47,873,450
2013-02-13	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	−38.8K sh	—	—	39,760,673
2013-02-13	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	+38.8K sh	—	—	13,631,952
2013-02-13	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	−38.8K sh	—	—	13,593,202
2013-01-04	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	−55.9K sh	—	—	39,799,423
2013-01-04	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	+55.9K sh	—	—	13,649,068
2013-01-04	TD AMERITRADE HOLDING CORPG Gift	Member of a 10% owner group	GGift	−55.9K sh	—	—	13,593,202
2012-12-31	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+138 sh	—	—	48,193,892
2012-12-04	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−1.5M sh	$16.22	−$24.3M	48,193,754
2012-11-23	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+26 sh	—	—	49,693,754
2012-08-14	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+16 sh	—	—	49,693,728
2012-05-15	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+15 sh	—	—	49,693,712
2012-04-03	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−522K sh	$20.04	−$10.5M	49,693,697
2012-04-02	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−4,000 sh	$20.01	−$80K	50,215,685
2012-03-28	TD AMERITRADE HOLDING CORPS Sale	Member of a 10% owner group	SSale	−90.5K sh	$20.05	−$1.81M	50,219,685
2012-02-15	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+15 sh	—	—	50,310,166
2012-02-02	TD AMERITRADE HOLDING CORPJ Other	Member of a 10% owner group	JOther	−6,094 sh	—	—	50,310,151
2012-01-09	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+64 sh	—	—	50,316,309
2011-11-22	TD AMERITRADE HOLDING CORPF Tax Payment	Member of a 10% owner group	FTax Payment	−26.4K sh	$17.00	−$449K	50,316,245
2011-11-15	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+50 sh	—	—	50,342,684
2011-11-14	TD AMERITRADE HOLDING CORPM Exercise/Conversion	Member of a 10% owner group	MExercise/Conversion	+77.3K sh	—	—	50,342,634
2011-11-14	TD AMERITRADE HOLDING CORPRestricted Stock UnitsM Exercise/Conversion	Member of a 10% owner group	MExercise/Conversion	−77.3K sh	—	—	0
2011-10-03	TD AMERITRADE HOLDING CORPM Exercise/Conversion	Member of a 10% owner group	MExercise/Conversion	+971 sh	—	—	50,265,294
2011-10-03	TD AMERITRADE HOLDING CORPRestricted Stock UnitsM Exercise/Conversion	Member of a 10% owner group	MExercise/Conversion	−971 sh	—	—	0
2011-08-16	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+49 sh	—	—	50,264,323
2011-05-31	TD AMERITRADE HOLDING CORPJ Other	Member of a 10% owner group	JOther	−1,250 sh	—	—	14,295,060
2011-05-17	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+34 sh	—	—	50,264,274
2011-05-17	TD AMERITRADE HOLDING CORPA Award	Member of a 10% owner group	AAward	+22 sh	—	—	50,264,262
2011-04-21	TD AMERITRADE HOLDING CORPJ Other	Member of a 10% owner group	JOther	+4,550 sh	—	—	14,562,385

Recent filings

Accepted (ET)
Jan 124
TD AMERITRADE HOLDING CORP0001123292-16-001549
SEC(opens sec.gov)
Jun 94
TD AMERITRADE HOLDING CORP0001123292-15-000875
SEC(opens sec.gov)
Feb 95
TD AMERITRADE HOLDING CORP0001123292-15-000333
SEC(opens sec.gov)
Mar 214
TD AMERITRADE HOLDING CORP0001123292-14-000354
SEC(opens sec.gov)
Mar 174
TD AMERITRADE HOLDING CORP0001123292-14-000336
SEC(opens sec.gov)
Mar 104
TD AMERITRADE HOLDING CORP0001123292-14-000292
SEC(opens sec.gov)
Oct 84
TD AMERITRADE HOLDING CORP0001123292-13-001430
SEC(opens sec.gov)
Aug 294
TD AMERITRADE HOLDING CORP0001209191-13-042340
SEC(opens sec.gov)
Jun 274
TD AMERITRADE HOLDING CORP0001209191-13-033953
SEC(opens sec.gov)
Jun 244
TD AMERITRADE HOLDING CORP0001209191-13-033383
SEC(opens sec.gov)

Companies

TD AMERITRADE HOLDING CORPMember of a 10% owner group

Address

C/O HUGO LLC 1395 S. PLATTE RIVER DRIVE

DENVER, CO, 80223