AI assistant
SCHWAB CHARLES CORP — Director's Dealing 2016
Dec 1, 2016
10451_dirs_2016-12-01_078c99c4-efde-46ef-bdff-350fbff21ac6.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: 2016-12-01
Reporting Person: Bettinger Walter W (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-01 | Common Stock | M | 196592.0000 | $15.4300 | Acquired | 440250.8859 | Direct |
| 2016-12-01 | Common Stock | S | 196592.0000 | $39.4292 | Disposed | 243658.8859 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-01 | Nonqualified Stock Option (right to buy) | $15.4300 | M | 196592.0000 | Disposed | 2020-11-01 | Common Stock (196592.0000) | 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 $39.20 to $39.69. 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.