SEC Form 4 · accession 0001225208-18-012737
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher V Dodds
Director
Period of report
Aug 16, 2018
Accepted (ET)
Aug 17, 2018 · 8:00 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 | Aug 16, 2018 | M | 8,548 | $31.21 | A | 468,116 | I | by Trust |
| Common Stock | Aug 16, 2018 | M | 3,933 | $28.96 | A | 472,049 | I | by Trust |
| Common Stock | Aug 16, 2018 | M | 1,791 | $38.33 | A | 473,840 | I | by Trust |
| Common Stock | Aug 16, 2018 | M | 1,446 | $29.68 | A | 475,286 | I | by Trust |
| Common StockF1 | Aug 16, 2018 | S | 1,446 | $51.1403 | D | 473,840 | I | by Trust |
| Common StockF1 | Aug 16, 2018 | S | 1,791 | $51.1403 | D | 472,049 | I | by Trust |
| Common StockF1 | Aug 16, 2018 | S | 3,933 | $51.1403 | D | 468,116 | I | by Trust |
| Common StockF1 | Aug 16, 2018 | S | 8,548 | $51.1403 | D | 459,568 | I | by Trust |
| Common Stock | holding | — | — | — | 7,592 | 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 | $31.21 | Aug 16, 2018 | M | 8,548 | D | — | May 15, 2025 | Common Stock | 8,548 | 0 | D |
| Nonqualified Stock Option (right to buy)F3 | $38.33 | Aug 16, 2018 | M | 1,791 | D | — | May 18, 2027 | Common Stock | 1,791 | 5,374 | D |
| Nonqualified Stock Option (right to buy)F4 | $28.96 | Aug 16, 2018 | M | 3,933 | D | — | May 19, 2026 | Common Stock | 3,933 | 3,933 | D |
| Nonqualified Stock Option (right to buy)F5 | $29.68 | Aug 16, 2018 | M | 1,446 | D | — | Dec 11, 2024 | Common Stock | 1,446 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $51.08 to $51.205. 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 5/15/2016.
- F3The date first exercisable is 5/18/2018.
- F4The date first exercisable is 5/19/2017.
- F5The date first exercisable is 12/11/2015.