0001225208-16-041749.txt : 20161114 0001225208-16-041749.hdr.sgml : 20161111 20161114192351 ACCESSION NUMBER: 0001225208-16-041749 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161110 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 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: Clark Bernard J. CENTRAL INDEX KEY: 0001564429 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 161997371 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 2016-11-10 0000316709 SCHWAB CHARLES CORP SCHW 0001564429 Clark Bernard J. 211 MAIN STREET SAN FRANCISCO CA 94105 1 EVP - Advisor Services Common Stock 2016-11-10 4 M 0 65056.0000 15.0000 A 117788.0696 I by Trust Common Stock 2016-11-10 4 M 0 28090.0000 18.2500 A 145878.0696 I by Trust Common Stock 2016-11-10 4 S 0 28090.0000 35.3152 D 117788.0696 I by Trust Common Stock 2016-11-10 4 S 0 65056.0000 35.3152 D 52732.0696 I by Trust Common Stock 3403.0370 I by 401(k) Common Stock 610.4900 I by ESOP Nonqualified Stock Option (right to buy) 18.2500 2016-11-10 4 M 0 28090.0000 0.0000 D 2011-03-01 2020-03-01 Common Stock 28090.0000 0.0000 D Nonqualified Stock Option (right to buy) 15.0000 2016-11-10 4 M 0 65056.0000 0.0000 D 2011-08-02 2020-08-02 Common Stock 65056.0000 0.0000 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 25, 2015. This transaction was executed in multiple trades at prices ranging from $34.50 to $35.58. 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. R. Scott McMillen, Attorney-in-fact 2016-11-14