SEC Form 4 · accession 0001225208-17-015900
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
Oct 4, 2017
Accepted (ET)
Oct 4, 2017 · 2:41 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 | Oct 4, 2017 | M | 1,000 | $30.17 | A | 1,000 | I | by Trust |
| Common StockF2 | Oct 4, 2017 | S | 1,000 | $44.3567 | D | 0 | I | by Trust |
| Common Stock | holding | — | — | — | 5,212 | D | ||
| Common Stock | holding | — | — | — | 155 | I | by ESPP |
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) | $30.17 | Oct 4, 2017 | M | 1,000 | D | Mar 2, 2016 | Mar 2, 2025 | Common Stock | 1,000 | 41,873 | 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 May 17, 2017.
- F2This transaction was executed in multiple trades at prices ranging from $44.14 to $44.49. 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.