SEC Form 4 · accession 0001225208-16-041748
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nigel J Murtagh
Officer — EVP - Corporate Risk
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 7:23 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 10, 2016 | M | 10,000 | $12.93 | A | 45,137 | D | |
| Common StockF1 | Nov 10, 2016 | S | 10,000 | $34.377 | D | 35,137 | D | |
| Common Stock | Nov 10, 2016 | G | 274 | $0.00 | D | 34,863 | D |
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)F2 | $12.93 | Nov 10, 2016 | M | 10,000 | D | — | Jul 2, 2022 | Common Stock | 10,000 | 14,938 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $34.32 to $34.45. 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.
- F2The option was first exercisable on July 2, 2013.