SEC Form 4 · accession 0001225208-18-008845
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Garfield
Officer — EVP and General Counsel
Period of report
May 7, 2018
Accepted (ET)
May 7, 2018 · 5:09 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 | May 7, 2018 | M | 14,988 | $26.39 | A | 33,084 | D | |
| Common Stock | May 7, 2018 | M | 12,786 | $30.17 | A | 45,870 | D | |
| Common Stock | May 7, 2018 | M | 9,556 | $42.99 | A | 55,426 | D | |
| Common StockF1 | May 7, 2018 | S | 9,556 | $57.0069 | D | 45,870 | D | |
| Common StockF1 | May 7, 2018 | S | 12,786 | $57.0069 | D | 33,084 | D | |
| Common StockF1 | May 7, 2018 | S | 14,988 | $57.0069 | D | 18,096 | 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) | $26.39 | May 7, 2018 | M | 14,988 | D | Mar 1, 2017 | Mar 1, 2026 | Common Stock | 14,988 | 29,977 | D |
| Nonqualified Stock Option (right to buy) | $42.99 | May 7, 2018 | M | 9,556 | D | Mar 1, 2018 | Mar 1, 2027 | Common Stock | 9,556 | 28,671 | D |
| Nonqualified Stock Option (right to buy) | $30.17 | May 7, 2018 | M | 12,786 | D | Mar 2, 2016 | Mar 2, 2025 | Common Stock | 12,786 | 12,786 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $56.89 to $57.19. 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.