SEC Form 4 · accession 0001225208-16-041277
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 3, 2016
Accepted (ET)
Nov 7, 2016 · 7:32 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 | Nov 3, 2016 | S | 2,494 | $31.3245 | D | 6,027 | D | |
| Common StockF2 | Nov 7, 2016 | S | 815 | $32.1049 | D | 5,212 | D | |
| Common Stock | Nov 3, 2016 | M | 5,200 | $13.64 | A | 5,200 | I | by Trust |
| Common StockF3 | Nov 3, 2016 | S | 5,200 | $31.3316 | D | 0 | I | by Trust |
| Common Stock | holding | — | — | — | 2,544 | 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) | $13.64 | Nov 3, 2016 | M | 5,200 | D | Nov 1, 2013 | Nov 1, 2022 | Common Stock | 5,200 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $31.30 to $31.36. 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 $32.095 to $32.105. 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.
- F3This transaction was executed in multiple trades at prices ranging from $31.31 to $31.36. 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.