SEC Form 4 · accession 0001225208-15-020624
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Martinetto
Officer — EVP and CFO
Period of report
Nov 9, 2015
Accepted (ET)
Nov 10, 2015 · 12:40 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 9, 2015 | M | 50,000 | $0.00 | A | 181,688 | D | |
| Common StockF1 | Nov 9, 2015 | S | 50,000 | $33.6523 | D | 131,688 | D | |
| Common Stock | holding | — | — | — | 606 | 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) | $11.75 | Nov 9, 2015 | M | 50,000 | D | Nov 1, 2012 | Nov 1, 2021 | Common Stock | 50,000 | 21,880 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $33.47 to $33.73. 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.