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SCHWAB CHARLES CORP — Director's Dealing 2017
Nov 3, 2017
10451_dirs_2017-11-03_e8b7b3be-e72d-4212-a85f-d380d4cab189.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SCHWAB CHARLES CORP (SCHW)
CIK: 0000316709
Period of Report: 2017-11-03
Reporting Person: Garfield David R (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-03 | Common Stock | M | 35069.0000 | $28.4400 | Acquired | 48693.0000 | Direct |
| 2017-11-03 | Common Stock | M | 25572.0000 | $30.1700 | Acquired | 74265.0000 | Direct |
| 2017-11-03 | Common Stock | M | 14988.0000 | $26.3900 | Acquired | 89253.0000 | Direct |
| 2017-11-03 | Common Stock | S | 14988.0000 | $44.5847 | Disposed | 74265.0000 | Direct |
| 2017-11-03 | Common Stock | S | 25572.0000 | $44.5847 | Disposed | 48693.0000 | Direct |
| 2017-11-03 | Common Stock | S | 35069.0000 | $44.5847 | Disposed | 13624.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-03 | Nonqualified Stock Option (right to buy) | $26.3900 | M | 14988.0000 | Disposed | 2026-03-01 | Common Stock (14988.0000) | Direct |
| 2017-11-03 | Nonqualified Stock Option (right to buy) | $30.1700 | M | 25572.0000 | Disposed | 2025-03-02 | Common Stock (25572.0000) | Direct |
| 2017-11-03 | Nonqualified Stock Option (right to buy) | $28.4400 | M | 35069.0000 | Disposed | 2024-11-03 | Common Stock (35069.0000) | Direct |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $44.49 to $44.72. 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.
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