Form 4 for SCHW Charles Schwab Corporation
Accepted 2023-02-16 00:00:00 ET · period of report 2023-02-14 · accession 0001062993-23-003859 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-02-16 | 2023-02-14 | SCHW | HERRINGER FRANK C | Dir | M - OptEx | $19.21 | +14.3K | 19.2K | +293% | +$275.6K |
| DI | 2023-02-16 | 2023-02-14 | SCHW | HERRINGER FRANK C | Dir | G - Gift | $0.00 | +14.3K | 166.2K | +9% | $0 |
| DI | 2023-02-16 | 2023-02-14 | SCHW | HERRINGER FRANK C | Dir | S - Sale+OE | $80.87 | -9,139 | 157.0K | -5% | -$739.1K |
| D | 2023-02-16 | 2023-02-14 | SCHW | HERRINGER FRANK C | Dir | G - Gift | $0.00 | -14.3K | 4,899 | -75% | $0 |
| D | 2023-02-16 | 2023-02-14 | SCHW | HERRINGER FRANK C | Dir | M - OptEx | $0.00 | -14.3K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-14 | M | A | 14,345 | $19.21 | 19,244 | D by Trust | — | — | |
| 2 | Common | Common Stock | 2023-02-14 | G | A | 14,345 | $0.00 | 166,165 | I | — | — | |
| 3 | Common | Common Stock | 2023-02-14 | S | D | 9,139 | $80.87 | 157,026 | I | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $80.80 to $80.945. 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. |
| 4 | Common | Common Stock | 2023-02-14 | G | D | 14,345 | $0.00 | 4,899 | D by Trust | — | — | |
| 5 | Derivative | Nonqualified Stock Option (right to buy) | 2023-02-14 | M | D | 14,345 | $0.00 | 0 | D | $19.21 · — to 2023-05-20 | 14,345 Common Stock | (F2) The option was granted under the company's 2013 Stock Incentive Plan and vested (i) 25% on May 20, 2014, (ii) 25% on May 20, 2015, and (iii) 50% on May 20, 2016. |