SEC Form 4 · accession 0001225208-18-008262
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nigel J Murtagh
Officer — EVP - Corporate Risk
Period of report
Apr 27, 2018
Accepted (ET)
Apr 30, 2018 · 7:03 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 27, 2018 | M | 6,500 | $16.40 | A | 39,130 | D | |
| Common Stock | Apr 27, 2018 | M | 6,500 | $13.64 | A | 45,630 | D | |
| Common StockF1 | Apr 27, 2018 | S | 6,500 | $55.9677 | D | 39,130 | D | |
| Common StockF1 | Apr 27, 2018 | S | 6,500 | $55.9677 | D | 32,630 | 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)F2 | $16.40 | Apr 27, 2018 | M | 6,500 | D | — | Mar 1, 2023 | Common Stock | 6,500 | 8,767 | D |
| Nonqualified Stock Option (right to buy)F3 | $13.64 | Apr 27, 2018 | M | 6,500 | D | — | Nov 1, 2022 | Common Stock | 6,500 | 8,500 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $55.90 to $56.00. 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 3/1/2014.
- F3The date first exercisable is 11/01/2013.