SEC Form 4 · accession 0001225208-17-012816
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 20, 2017
Accepted (ET)
Jul 21, 2017 · 6:11 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 20, 2017 | M | 54,952 | $18.66 | A | 210,868 | D | |
| Common Stock | Jul 20, 2017 | M | 44,944 | $18.25 | A | 255,812 | D | |
| Common Stock | Jul 20, 2017 | M | 15,746 | $15.43 | A | 271,558 | D | |
| Common Stock | Jul 20, 2017 | S | 15,746 | $42.10 | D | 255,812 | D | |
| Common Stock | Jul 20, 2017 | S | 44,944 | $42.10 | D | 210,868 | D | |
| Common Stock | Jul 20, 2017 | S | 54,952 | $42.10 | 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) | $18.25 | Jul 20, 2017 | M | 44,944 | D | Mar 1, 2011 | Mar 1, 2020 | Common Stock | 44,944 | 0 | D |
| Nonqualified Stock Option (right to buy) | $18.66 | Jul 20, 2017 | M | 54,952 | D | Mar 1, 2012 | Mar 1, 2021 | Common Stock | 54,952 | 0 | D |
| Nonqualified Stock Option (right to buy) | $15.43 | Jul 20, 2017 | M | 15,746 | D | Nov 1, 2011 | Nov 1, 2020 | Common Stock | 15,746 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $42.10 to $42.105. 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.