SEC Form 4 · accession 0001225208-17-017751
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
Nov 29, 2017
Accepted (ET)
Nov 29, 2017 · 5:54 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 29, 2017 | M | 73,108 | $12.45 | A | 229,024 | D | |
| Common Stock | Nov 29, 2017 | M | 21,880 | $11.75 | A | 250,904 | D | |
| Common StockF1 | Nov 29, 2017 | S | 21,880 | $48.1461 | D | 229,024 | D | |
| Common StockF1 | Nov 29, 2017 | S | 73,108 | $48.1461 | 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) | $12.45 | Nov 29, 2017 | M | 73,108 | D | Aug 1, 2013 | Aug 1, 2022 | Common Stock | 73,108 | 0 | D |
| Nonqualified Stock Option (right to buy) | $11.75 | Nov 29, 2017 | M | 21,880 | D | Nov 1, 2012 | Nov 1, 2021 | Common Stock | 21,880 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $48.11 to $48.235. 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.