SEC Form 4 · accession 0001225208-15-020379
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terri R Kallsen
Officer — EVP - Investor Services
Period of report
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 4:39 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 Stock | Nov 2, 2015 | F | 1,506 | $30.975 | D | 16,871 | D | |
| Common Stock | Nov 3, 2015 | F | 640 | $31.445 | D | 16,231 | D | |
| Common Stock | Nov 4, 2015 | M | 4,800 | $13.64 | A | 21,031 | D | |
| Common Stock | Nov 4, 2015 | M | 3,900 | $23.12 | A | 24,931 | D | |
| Common Stock | Nov 4, 2015 | M | 3,200 | $12.10 | A | 28,131 | D | |
| Common StockF1 | Nov 4, 2015 | S | 3,569 | $31.5517 | D | 24,562 | D | |
| Common StockF2 | Nov 4, 2015 | S | 11,900 | $31.5837 | D | 12,662 | D | |
| Common Stock | holding | — | — | — | 2,456 | 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) | $12.10 | Nov 4, 2015 | M | 3,200 | D | Jun 1, 2013 | Jun 1, 2022 | Common Stock | 3,200 | 3,362 | D |
| Nonqualified Stock Option (right to buy) | $13.64 | Nov 4, 2015 | M | 4,800 | D | Nov 1, 2013 | Nov 1, 2022 | Common Stock | 4,800 | 5,200 | D |
| Nonqualified Stock Option (right to buy) | $23.12 | Nov 4, 2015 | M | 3,900 | D | Nov 1, 2014 | Nov 1, 2023 | Common Stock | 3,900 | 7,989 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $31.48 to $31.64. 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.
- F2This transaction was executed in multiple trades at prices ranging from $31.50 to $31.66. 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.