0001225208-17-003104.txt : 20170214 0001225208-17-003104.hdr.sgml : 20170214 20170214130154 ACCESSION NUMBER: 0001225208-17-003104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170213 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SCHWAB CHARLES CORP CENTRAL INDEX KEY: 0000316709 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 943025021 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 211 MAIN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 415-667-7000 MAIL ADDRESS: STREET 1: 211 MAIN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldfarb Mark A CENTRAL INDEX KEY: 0001562215 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 17606139 MAIL ADDRESS: STREET 1: C/O THE CHARLES SCHWAB CORPORATION STREET 2: 211 MAIN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 4 1 doc4.xml X0306 4 2017-02-13 0000316709 SCHWAB CHARLES CORP SCHW 0001562215 Goldfarb Mark A 211 MAIN STREET SAN FRANCISCO CA 94105 1 Common Stock 2017-02-13 4 M 0 14345.0000 19.2100 A 35492.0000 D Common Stock 2017-02-13 4 M 0 1343.0000 13.6700 A 36835.0000 D Common Stock 2017-02-13 4 S 0 15688.0000 40.9375 D 21147.0000 D Nonqualified Stock Option (right to buy) 19.2100 2017-02-13 4 M 0 14345.0000 0.0000 D 2023-05-20 Common Stock 14345.0000 0.0000 D Nonqualified Stock Option (right to buy) 13.6700 2017-02-13 4 M 0 1343.0000 0.0000 D 2022-12-12 Common Stock 1343.0000 0.0000 D This transaction was executed in multiple trades at prices ranging from $40.86 to $40.98. 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. The date first exercisable is 5/20/14. The date first exercisable is 12/12/13. R. Scott McMillen, Attorney-in-fact 2017-02-14