0001225208-17-016903.txt : 20171103 0001225208-17-016903.hdr.sgml : 20171103 20171103151325 ACCESSION NUMBER: 0001225208-17-016903 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171103 FILED AS OF DATE: 20171103 DATE AS OF CHANGE: 20171103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Garfield David R CENTRAL INDEX KEY: 0001621886 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 171176138 MAIL ADDRESS: STREET 1: C/O THE CHARLES SCHWAB CORPORATION STREET 2: 211 MAIN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 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 4 1 doc4.xml X0306 4 2017-11-03 0000316709 SCHWAB CHARLES CORP SCHW 0001621886 Garfield David R 211 MAIN STREET SAN FRANCISCO CA 94105 1 EVP and General Counsel Common Stock 2017-11-03 4 M 0 35069.0000 28.4400 A 48693.0000 D Common Stock 2017-11-03 4 M 0 25572.0000 30.1700 A 74265.0000 D Common Stock 2017-11-03 4 M 0 14988.0000 26.3900 A 89253.0000 D Common Stock 2017-11-03 4 S 0 14988.0000 44.5847 D 74265.0000 D Common Stock 2017-11-03 4 S 0 25572.0000 44.5847 D 48693.0000 D Common Stock 2017-11-03 4 S 0 35069.0000 44.5847 D 13624.0000 D Nonqualified Stock Option (right to buy) 26.3900 2017-11-03 4 M 0 14988.0000 0.0000 D 2017-03-01 2026-03-01 Common Stock 14988.0000 44965.0000 D Nonqualified Stock Option (right to buy) 30.1700 2017-11-03 4 M 0 25572.0000 0.0000 D 2016-03-02 2025-03-02 Common Stock 25572.0000 25572.0000 D Nonqualified Stock Option (right to buy) 28.4400 2017-11-03 4 M 0 35069.0000 0.0000 D 2015-11-03 2024-11-03 Common Stock 35069.0000 11690.0000 D This transaction was executed in multiple trades at prices ranging from $44.49 to $44.72. 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. Jamal Modir, Attorney-in-fact 2017-11-03