SEC Form 4 · accession 0001225208-17-018371
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter B. Crawford
Officer — EVP and CFO
Period of report
Dec 5, 2017
Accepted (ET)
Dec 7, 2017 · 6:19 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 | Dec 5, 2017 | M | 12,459 | $15.43 | A | 23,173 | I | by Trust |
| Common StockF2 | Dec 5, 2017 | S | 12,459 | $51.58 | D | 10,714 | I | by Trust |
| Common Stock | holding | — | — | — | 7,652 | 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) | $15.43 | Dec 5, 2017 | M | 12,459 | D | Nov 1, 2011 | Nov 1, 2020 | Common Stock | 12,459 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 30, 2017.
- F2This transaction was executed in multiple trades at prices ranging from $51.43 to $51.74. 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.