SEC Form 4 · accession 0001225208-15-013742
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jay L Allen
Officer — EVP and Chief Admin Officer
Period of report
Jun 11, 2015
Accepted (ET)
Jun 12, 2015 · 10:45 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 11, 2015 | M | 6,004 | $23.12 | A | 11,658 | I | by Trust |
| Common StockF2 | Jun 11, 2015 | S | 6,004 | $33.6155 | D | 5,654 | I | by Trust |
| Common Stock | holding | — | — | — | 1,874 | I | by ESPP |
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) | $23.12 | Jun 11, 2015 | M | 6,004 | D | Nov 1, 2014 | Nov 1, 2023 | Common Stock | 6,004 | 18,012 | 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 November 24, 2014.
- F2This transaction was executed in multiple trades at prices ranging from $33.58 to $33.65. 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.