SEC Form 4/A · accession 0001225208-16-041810
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Bernard J. Clark
Officer — EVP - Advisor Services
Period of report
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 7:10 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 StockF2 | Nov 10, 2016 | S | 28,090 | $35.3152 | D | 117,788 | I | by Trust |
| Common StockF2 | Nov 10, 2016 | S | 65,056 | $35.3152 | D | 52,732 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
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 August 25, 2016.
- F2This transaction was executed in multiple trades at prices ranging from $34.50 to $35.58. 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.
Remarks
Reporting person entered into a 10b5-1 trading plan on August 25, 2016; as opposed to August 25, 2015 as reported on November 14, 2016.