SEC Form 4 · accession 0001225208-18-009771
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter W Bettinger
Officer — President and CEO · Director
Period of report
May 22, 2018
Accepted (ET)
May 23, 2018 · 4:08 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 22, 2018 | M | 109,501 | $27.45 | A | 351,504 | D | |
| Common Stock | May 22, 2018 | M | 101,310 | $28.44 | A | 452,814 | D | |
| Common Stock | May 22, 2018 | M | 40,489 | $25.86 | A | 493,303 | D | |
| Common StockF1 | May 22, 2018 | S | 40,489 | $59.7141 | D | 452,814 | D | |
| Common StockF1 | May 22, 2018 | S | 101,310 | $59.7141 | D | 351,504 | D | |
| Common StockF1 | May 22, 2018 | S | 109,501 | $59.7141 | D | 242,003 | D | |
| Common Stock | holding | — | — | — | 6,054 | I | by ESOP | |
| Common Stock | holding | — | — | — | 1,277 | I | by ESPP | |
| Common Stock | holding | — | — | — | 2,309 | I | By Spouse |
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) | $25.86 | May 22, 2018 | M | 40,489 | D | Mar 3, 2015 | Mar 3, 2024 | Common Stock | 40,489 | 0 | D |
| Nonqualified Stock Option (right to buy) | $27.45 | May 22, 2018 | M | 109,501 | D | Aug 1, 2015 | Aug 1, 2024 | Common Stock | 109,501 | 36,501 | D |
| Nonqualified Stock Option (right to buy) | $28.44 | May 22, 2018 | M | 101,310 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 101,310 | 33,770 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $59.70 to $59.78. 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.