SEC Form 4 · accession 0001225208-19-004685
SCHWAB CHARLES CORP · SCHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marie A Chandoha
Officer — CEO - CSIM
Period of report
Mar 5, 2019
Accepted (ET)
Mar 5, 2019 · 7:10 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 | Mar 5, 2019 | M | 22,564 | $30.17 | A | 40,341 | I | by Trust |
| Common Stock | Mar 5, 2019 | M | 22,482 | $26.39 | A | 62,823 | I | by Trust |
| Common StockF2 | Mar 5, 2019 | S | 22,482 | $45.4793 | D | 40,341 | I | by Trust |
| Common StockF3 | Mar 5, 2019 | S | 22,564 | $45.4801 | D | 17,777 | I | by Trust |
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) | $30.17 | Mar 5, 2019 | M | 22,564 | D | Mar 2, 2016 | Mar 2, 2025 | Common Stock | 22,564 | 0 | D |
| Nonqualified Stock Option (right to buy) | $26.39 | Mar 5, 2019 | M | 22,482 | D | Mar 1, 2017 | Mar 1, 2026 | Common Stock | 22,482 | 22,483 | I |
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 November 15, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $45.22 to $45.75. 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 $45.23 to $45.75. 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.