SEC Form 4 · accession 0001225208-17-017843
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter W Bettinger
Officer — President and CEO · Director
Period of report
Nov 30, 2017
Accepted (ET)
Nov 30, 2017 · 7:06 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 30, 2017 | M | 168,220 | $22.67 | A | 445,684 | D | |
| Common StockF1 | Nov 30, 2017 | S | 168,220 | $49.1028 | D | 277,464 | D | |
| Common Stock | holding | — | — | — | 5,981 | I | by ESOP | |
| Common Stock | holding | — | — | — | 1,277 | I | by ESPP | |
| Common Stock | holding | — | — | — | 2,291 | I | By Spouse |
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) | $22.67 | Nov 30, 2017 | M | 168,220 | D | Aug 1, 2014 | Aug 1, 2023 | Common Stock | 168,220 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $49.10 to $49.12. 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.