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SCHWAB CHARLES CORP — Director's Dealing 2017
Jan 18, 2017
10451_dirs_2017-01-18_897d1dad-b278-4df1-a1f8-519a39874e41.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: 2017-01-13
Reporting Person: Bettinger Walter W (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-01-13 | Common Stock | M | 339426.0000 | $12.4500 | Acquired | 583084.8859 | Direct |
| 2017-01-13 | Common Stock | S | 339426.0000 | $41.7528 | Disposed | 243658.8859 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-01-13 | Nonqualified Stock Option (right to buy) | $12.4500 | M | 339426.0000 | Disposed | 2022-08-01 | Common Stock (339426.0000) | 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 $41.75 to $41.80. 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.