SEC Form 4 · accession 0001225208-17-003104
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Goldfarb
Director
Period of report
Feb 13, 2017
Accepted (ET)
Feb 14, 2017 · 1:01 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 | Feb 13, 2017 | M | 14,345 | $19.21 | A | 35,492 | D | |
| Common Stock | Feb 13, 2017 | M | 1,343 | $13.67 | A | 36,835 | D | |
| Common StockF1 | Feb 13, 2017 | S | 15,688 | $40.9375 | D | 21,147 | 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 | $19.21 | Feb 13, 2017 | M | 14,345 | D | — | May 20, 2023 | Common Stock | 14,345 | 0 | D |
| Nonqualified Stock Option (right to buy)F3 | $13.67 | Feb 13, 2017 | M | 1,343 | D | — | Dec 12, 2022 | Common Stock | 1,343 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $40.86 to $40.98. 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 date first exercisable is 5/20/14.
- F3The date first exercisable is 12/12/13.