SEC Form 4/A · accession 0001225208-17-016763
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Nigel J Murtagh
Officer — EVP - Corporate Risk
Period of report
Oct 31, 2017
Accepted (ET)
Nov 1, 2017 · 7:38 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 31, 2017 | M | 5,000 | $12.93 | A | 28,622 | D | |
| Common Stock | Oct 31, 2017 | M | 3,000 | $12.45 | A | 31,622 | D | |
| Common Stock | Oct 31, 2017 | S | 3,000 | $45.1492 | D | 28,622 | D | |
| Common Stock | Oct 31, 2017 | S | 5,000 | $45.1492 | D | 23,622 | 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) | $12.93 | Oct 31, 2017 | M | 5,000 | D | Jul 2, 2013 | Jul 2, 2022 | Common Stock | 5,000 | 9,938 | D |
| Nonqualified Stock Option (right to buy) | $12.45 | Oct 31, 2017 | M | 3,000 | D | Aug 1, 2013 | Aug 1, 2022 | Common Stock | 3,000 | 10,110 | D |