0001225208-20-013403.txt : 20201112 0001225208-20-013403.hdr.sgml : 20201112 20201112102614 ACCESSION NUMBER: 0001225208-20-013403 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201111 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DODDS CHRISTOPHER V CENTRAL INDEX KEY: 0001186004 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 201304384 MAIL ADDRESS: STREET 1: ITG INC. STREET 2: ONE LIBERTY PLAZA, 165 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10006 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 2020-11-11 0000316709 SCHWAB CHARLES CORP SCHW 0001186004 DODDS CHRISTOPHER V 211 MAIN STREET SAN FRANCISCO CA 94105 1 Common Stock 2020-11-11 4 M 0 5374.0000 38.3300 A 472116.0000 I by Trust Common Stock 2020-11-11 4 M 0 3933.0000 28.9600 A 476049.0000 I by Trust Common Stock 2020-11-11 4 S 0 9307.0000 46.5412 D 466742.0000 I by Trust Common Stock 7381.0000 D Nonqualified Stock Option (right to buy) 38.3300 2020-11-11 4 M 0 5374.0000 0.0000 D 2027-05-18 Common Stock 5374.0000 0.0000 D Nonqualified Stock Option (right to buy) 28.9600 2020-11-11 4 M 0 3933.0000 0.0000 D 2026-05-19 Common Stock 3933.0000 0.0000 D This transaction was executed in multiple trades at prices ranging from $46.47 to $46.67. 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 5/18/2018 . The date first exercisable is 5/19/2017. Jamal Modir, Attorney-in-fact 2020-11-11