SEC Form 4 · accession 0001225208-18-016234
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terri R Kallsen
Officer — EVP - Investor Services
Period of report
Dec 3, 2018
Accepted (ET)
Dec 4, 2018 · 9:37 pm EST
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 | Dec 3, 2018 | M | 4,053 | $28.44 | A | 4,913 | I | by Trust |
| Common StockF2 | Dec 3, 2018 | S | 860 | $46.0604 | D | 4,053 | I | by Trust |
| Common StockF3 | Dec 3, 2018 | S | 4,053 | $46.0964 | D | 0 | I | by Trust |
| Common Stock | holding | — | — | — | 1,180 | I | by ESPP |
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) | $28.44 | Dec 3, 2018 | M | 4,053 | D | Nov 3, 2015 | Nov 3, 2024 | Common Stock | 4,053 | 0 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 16, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $45.6501 to $46.3150. 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.
- F3This transaction was executed in multiple trades at prices ranging from $45.70 to $46.33. 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.