SEC Form 4 · accession 0001225208-17-016903
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Garfield
Officer — EVP and General Counsel
Period of report
Nov 3, 2017
Accepted (ET)
Nov 3, 2017 · 3:13 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 | Nov 3, 2017 | M | 35,069 | $28.44 | A | 48,693 | D | |
| Common Stock | Nov 3, 2017 | M | 25,572 | $30.17 | A | 74,265 | D | |
| Common Stock | Nov 3, 2017 | M | 14,988 | $26.39 | A | 89,253 | D | |
| Common StockF1 | Nov 3, 2017 | S | 14,988 | $44.5847 | D | 74,265 | D | |
| Common StockF1 | Nov 3, 2017 | S | 25,572 | $44.5847 | D | 48,693 | D | |
| Common StockF1 | Nov 3, 2017 | S | 35,069 | $44.5847 | D | 13,624 | 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) | $26.39 | Nov 3, 2017 | M | 14,988 | D | Mar 1, 2017 | Mar 1, 2026 | Common Stock | 14,988 | 44,965 | D |
| Nonqualified Stock Option (right to buy) | $30.17 | Nov 3, 2017 | M | 25,572 | D | Mar 2, 2016 | Mar 2, 2025 | Common Stock | 25,572 | 25,572 | D |
| Nonqualified Stock Option (right to buy) | $28.44 | Nov 3, 2017 | M | 35,069 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 35,069 | 11,690 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $44.49 to $44.72. 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.