Form 4 for SCHW Charles Schwab Corporation
Accepted 2021-10-19 00:00:00 ET · period of report 2021-10-18 · accession 0001225208-21-013147 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2021-10-19 | 2021-10-18 | SCHW | DODDS CHRISTOPHER V | Dir | S - Sale+OE | $80.38 | -11.1K | 439.8K | -2% | -$891.7K |
| DMI | 2021-10-19 | 2021-10-18 | SCHW | DODDS CHRISTOPHER V | Dir | M - OptEx | $49.20 | +11.1K | 449.2K | +3% | +$545.8K |
| DM | 2021-10-19 | 2021-10-18 | SCHW | DODDS CHRISTOPHER V | Dir | M - OptEx | $0.00 | -11.1K | 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 | 2021-10-18 | S | D | 11,094 | $80.38 | 439,792 | I by Trust | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $80.22 to $80.585. 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. |
| 2 | Common | Common Stock | 2021-10-18 | M | A | 1,663 | $33.40 | 450,886 | I by Trust | — | — | |
| 3 | Common | Common Stock | 2021-10-18 | M | A | 5,139 | $59.32 | 444,931 | I by Trust | — | — | |
| 4 | Common | Common Stock | 2021-10-18 | M | A | 4,292 | $43.21 | 449,223 | I by Trust | — | — | |
| 5 | Derivative | Nonqualified Stock Option (right to buy) | 2021-10-18 | M | D | 1,663 | $0.00 | 4,992 | D | $33.40 · 2021-05-14 to 2030-05-14 | 1,663 Common Stock | |
| 6 | Derivative | Nonqualified Stock Option (right to buy) | 2021-10-18 | M | D | 4,292 | $0.00 | 4,292 | D | $43.21 · — to 2029-05-17 | 4,292 Common Stock | (F3) The date first exercisable was 5/17/2020. |
| 7 | Derivative | Nonqualified Stock Option (right to buy) | 2021-10-18 | M | D | 5,139 | $0.00 | 0 | D | $59.32 · — to 2028-05-17 | 5,139 Common Stock | (F2) The date first exercisable was 5/17/2019. |