SEC Form 4 · accession 0001225208-18-000620
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terri R Kallsen
Officer — EVP - Investor Services
Period of report
Jan 3, 2018
Accepted (ET)
Jan 4, 2018 · 3:15 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 | Jan 3, 2018 | M | 2,026 | $28.44 | A | 2,026 | I | by Trust |
| Common StockF2 | Jan 3, 2018 | S | 2,026 | $51.3041 | D | 0 | I | by Trust |
| Common Stock | holding | — | — | — | 1,706 | D | ||
| Common Stock | holding | — | — | — | 155 | I | by ESPP |
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) | $28.44 | Jan 3, 2018 | M | 2,026 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 2,026 | 6,079 | 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 May 17, 2017.
- F2This transaction was executed in multiple trades at prices ranging from $51.14 to $51.69. 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.