SEC Form 4 · accession 0001225208-15-013540
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
Jun 5, 2015
Accepted (ET)
Jun 9, 2015 · 11:45 am EDT
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 Stock | Jun 5, 2015 | M | 64,000 | $19.36 | A | 174,838 | D | |
| Common StockF2 | Jun 5, 2015 | S | 64,000 | $33.188 | D | 110,838 | D | |
| Common Stock | holding | — | — | — | 29,442 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 5,310 | 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) | $19.36 | Jun 5, 2015 | M | 64,000 | D | Nov 3, 2009 | Nov 3, 2018 | Common Stock | 64,000 | 64,041 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 27, 2014.
- F2This transaction was executed in multiple trades at prices ranging from $33.00 to $33.58. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.