SEC Form 4 · accession 0001225208-16-041833
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 14, 2016
Accepted (ET)
Nov 16, 2016 · 1:45 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 14, 2016 | M | 18,802 | $30.17 | A | 18,802 | I | by Trust |
| Common Stock | Nov 14, 2016 | M | 8,105 | $28.44 | A | 26,907 | I | by Trust |
| Common Stock | Nov 14, 2016 | M | 4,026 | $23.12 | A | 30,933 | I | by Trust |
| Common StockF1 | Nov 14, 2016 | S | 4,026 | $36.9412 | D | 26,907 | I | by Trust |
| Common StockF1 | Nov 14, 2016 | S | 8,105 | $36.9412 | D | 18,802 | I | by Trust |
| Common StockF1 | Nov 14, 2016 | S | 18,802 | $36.9412 | D | 0 | I | by Trust |
| Common Stock | holding | — | — | — | 5,212 | D | ||
| 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) | $30.17 | Nov 14, 2016 | M | 18,802 | D | Mar 2, 2016 | Mar 2, 2025 | Common Stock | 18,802 | 56,409 | D |
| Nonqualified Stock Option (right to buy) | $23.12 | Nov 14, 2016 | M | 4,026 | D | Nov 1, 2014 | Nov 1, 2023 | Common Stock | 4,026 | 3,963 | D |
| Nonqualified Stock Option (right to buy) | $28.44 | Nov 14, 2016 | M | 8,105 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 8,105 | 8,105 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $36.31 to $37.68. 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.