AI assistant
SCHWAB CHARLES CORP — Director's Dealing 2016
Dec 23, 2016
10451_dirs_2016-12-23_07b40b47-5f53-45d1-86d1-88be653d024e.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SCHWAB CHARLES CORP (SCHW)
CIK: 0000316709
Period of Report: 2016-12-23
Reporting Person: Bettinger Walter W (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-23 | Common Stock | M | 320649.0000 | $15.0500 | Acquired | 564307.8859 | Direct |
| 2016-12-23 | Common Stock | S | 320649.0000 | $40.3527 | Disposed | 243658.8859 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-23 | Nonqualified Stock Option (right to buy) | $15.0500 | M | 320649.0000 | Disposed | 2021-08-01 | Common Stock (320649.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5946.6130 | Indirect |
| Common Stock | 1277.0000 | Indirect |
| Common Stock | 2277.2253 | Indirect |
Footnotes
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 30, 2016.
F2: This transaction was executed in multiple trades at prices ranging from $40.35 to $40.365. 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.