SEC Form 4 · accession 0001225208-15-006776
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James D McCool
Officer — EVP - Client Solutions
Period of report
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 4:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000316709
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 2, 2015 | M | 13,941 | $29.77 | A | 106,330 | D | |
| Common StockF1 | Mar 3, 2015 | M | 4,508 | $29.95 | A | 110,838 | D | |
| Common Stock | holding | — | — | — | 29,361 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 5,297 | I | by ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock Option (right to buy)F2 | $30.17 | Mar 2, 2015 | A | 90,253 | A | Mar 2, 2016 | Mar 2, 2025 | Common Stock | 90,253 | 90,253 | D |
Explanation of responses
- F1Shares acquired on the vesting of restricted stock units.
- F2The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.