SEC Form 4 · accession 0001225208-16-042003
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marie A Chandoha
Officer — President - CSIM
Period of report
Nov 16, 2016
Accepted (ET)
Nov 18, 2016 · 6:15 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 16, 2016 | M | 35,124 | $12.45 | A | 38,142 | I | by Trust |
| Common Stock | Nov 16, 2016 | M | 35,000 | $13.64 | A | 73,142 | I | by Trust |
| Common Stock | Nov 16, 2016 | M | 17,279 | $11.75 | A | 90,421 | I | by Trust |
| Common Stock | Nov 16, 2016 | M | 14,463 | $13.91 | A | 104,884 | I | by Trust |
| Common StockF1 | Nov 16, 2016 | S | 14,463 | $36.6509 | D | 90,421 | I | by Trust |
| Common StockF1 | Nov 16, 2016 | S | 17,279 | $36.6509 | D | 73,142 | I | by Trust |
| Common StockF1 | Nov 16, 2016 | S | 35,000 | $36.6509 | D | 38,142 | I | by Trust |
| Common StockF1 | Nov 16, 2016 | S | 35,124 | $36.6509 | D | 3,018 | I | by Trust |
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) | $13.91 | Nov 16, 2016 | M | 14,463 | D | Mar 1, 2016 | Mar 1, 2022 | Common Stock | 14,463 | 0 | D |
| Nonqualified Stock Option (right to buy) | $12.45 | Nov 16, 2016 | M | 35,124 | D | Aug 1, 2013 | Aug 1, 2022 | Common Stock | 35,124 | 0 | D |
| Nonqualified Stock Option (right to buy) | $13.64 | Nov 16, 2016 | M | 35,000 | D | Nov 1, 2013 | Nov 1, 2022 | Common Stock | 35,000 | 0 | D |
| Nonqualified Stock Option (right to buy) | $11.75 | Nov 16, 2016 | M | 17,279 | D | Nov 1, 2015 | Nov 1, 2021 | Common Stock | 17,279 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $36.6 to $36.73. 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.