SEC Form 4 · accession 0001225208-17-008221
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
Apr 19, 2017
Accepted (ET)
Apr 20, 2017 · 5:42 pm EDT
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 StockF1 | Apr 19, 2017 | S | 2,456 | $38.4169 | D | 155 | I | by ESPP |
| Common Stock | Apr 19, 2017 | M | 22,482 | $26.39 | A | 24,666 | I | by Trust |
| Common StockF2 | Apr 19, 2017 | S | 2,184 | $38.4154 | D | 22,482 | I | by Trust |
| Common StockF3 | Apr 19, 2017 | S | 22,482 | $38.3514 | D | 0 | I | by Trust |
| Common Stock | holding | — | — | — | 5,212 | 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) | $26.39 | Apr 19, 2017 | M | 22,482 | D | Mar 1, 2017 | Mar 1, 2026 | Common Stock | 22,482 | 67,447 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $38.389 to $38.425. 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.
- F2This transaction was executed in multiple trades at prices ranging from $38.025 to $38.445. 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.
- F3This transaction was executed in multiple trades at prices ranging from $38.405 to $38.43. 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.