SEC Form 4 · accession 0001225208-17-011777
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bernard J. Clark
Officer — EVP - Advisor Services
Period of report
Jun 29, 2017
Accepted (ET)
Jun 30, 2017 · 4:59 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 Stock | Jun 29, 2017 | M | 400 | $15.43 | A | 53,250 | I | by Trust |
| Common Stock | Jun 29, 2017 | S | 400 | $44.00 | D | 52,850 | I | by Trust |
| Common Stock | holding | — | — | — | 3,418 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 614 | I | by ESOP |
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) | $15.43 | Jun 29, 2017 | M | 400 | D | Nov 1, 2011 | Nov 1, 2020 | Common Stock | 400 | 32,744 | D |
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 January 3, 2017.