SEC Form 4 · accession 0001225208-18-007984
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Martinetto
Officer — Senior EVP and COO
Period of report
Apr 20, 2018
Accepted (ET)
Apr 23, 2018 · 7:06 pm EDT
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 | Apr 20, 2018 | M | 70,000 | $13.64 | A | 242,330 | D | |
| Common Stock | Apr 20, 2018 | M | 64,130 | $15.05 | A | 306,460 | D | |
| Common Stock | Apr 20, 2018 | M | 60,533 | $16.40 | A | 366,993 | D | |
| Common Stock | Apr 20, 2018 | M | 57,852 | $13.91 | A | 424,845 | D | |
| Common Stock | Apr 20, 2018 | M | 28,170 | $15.08 | A | 453,015 | D | |
| Common StockF1 | Apr 20, 2018 | S | 28,170 | $54.7996 | D | 424,845 | D | |
| Common StockF1 | Apr 20, 2018 | S | 57,852 | $54.7996 | D | 366,993 | D | |
| Common StockF1 | Apr 20, 2018 | S | 60,533 | $54.7996 | D | 306,460 | D | |
| Common StockF1 | Apr 20, 2018 | S | 64,130 | $54.7996 | D | 242,330 | D | |
| Common StockF1 | Apr 20, 2018 | S | 70,000 | $54.7996 | D | 172,330 | D | |
| Common Stock | holding | — | — | — | 622 | 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)F2 | $15.08 | Apr 20, 2018 | M | 28,170 | D | — | Jan 2, 2023 | Common Stock | 28,170 | 0 | D |
| Nonqualified Stock Option (right to buy) | $13.91 | Apr 20, 2018 | M | 57,852 | D | Mar 1, 2013 | Mar 1, 2022 | Common Stock | 57,852 | 0 | D |
| Nonqualified Stock Option (right to buy) | $16.40 | Apr 20, 2018 | M | 60,533 | D | Mar 1, 2014 | Mar 1, 2023 | Common Stock | 60,533 | 0 | D |
| Nonqualified Stock Option (right to buy) | $15.05 | Apr 20, 2018 | M | 64,130 | D | Aug 1, 2012 | Aug 1, 2021 | Common Stock | 64,130 | 0 | D |
| Nonqualified Stock Option (right to buy) | $13.64 | Apr 20, 2018 | M | 70,000 | D | Nov 1, 2013 | Nov 1, 2022 | Common Stock | 70,000 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $54.50 to $55.04. 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.
- F2The date first exercisable is 1/02/2014.