SEC Form 4 · accession 0001225208-17-012750
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Martinetto
Officer — Senior EVP
Period of report
Jul 19, 2017
Accepted (ET)
Jul 19, 2017 · 7:34 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 | Jul 19, 2017 | M | 52,045 | $15.00 | A | 207,961 | D | |
| Common Stock | Jul 19, 2017 | M | 37,285 | $15.43 | A | 245,246 | D | |
| Common Stock | Jul 19, 2017 | S | 37,285 | $42.5067 | D | 207,961 | D | |
| Common Stock | Jul 19, 2017 | S | 52,045 | $42.5067 | D | 155,916 | D | |
| 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) | $15.00 | Jul 19, 2017 | M | 52,045 | D | Aug 2, 2011 | Aug 2, 2020 | Common Stock | 52,045 | 0 | D |
| Nonqualified Stock Option (right to buy) | $15.43 | Jul 19, 2017 | M | 37,285 | D | Nov 1, 2011 | Nov 1, 2020 | Common Stock | 37,285 | 15,746 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $42.50 to $42.59. 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.