SEC Form 4 · accession 0001225208-17-017077
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marie A Chandoha
Officer — President - CSIM
Period of report
Nov 8, 2017
Accepted (ET)
Nov 8, 2017 · 4:36 pm EST
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 8, 2017 | M | 9,006 | $23.12 | A | 9,006 | I | by Trust |
| Common Stock | Nov 8, 2017 | M | 7,793 | $28.44 | A | 16,799 | I | by Trust |
| Common StockF1 | Nov 8, 2017 | S | 7,793 | $44.3129 | D | 9,006 | I | by Trust |
| Common StockF1 | Nov 8, 2017 | S | 9,006 | $44.3129 | D | 0 | I | by Trust |
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) | $23.12 | Nov 8, 2017 | M | 9,006 | D | Nov 1, 2014 | Nov 1, 2023 | Common Stock | 9,006 | 0 | D |
| Nonqualified Stock Option (right to buy) | $28.44 | Nov 8, 2017 | M | 7,793 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 7,793 | 7,794 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $44.30 to $44.35. 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.