Schwab Charles R.'s Form 4 filing
Schwab Charles Corp (SCHW) · filed Nov 2, 2022
- Accession no.
- 0001062993-22-021418
- Filed
- Nov 2, 2022
- Trade date
- Oct 31-Nov 1, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market sales total $10.9M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Schwab Charles R.CIK 0000923738 | Director, Officer (Co-Chairman) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 31, 2022 | Common Stock | SSaleDisposed | −135,000 | $79.49F1 | −$10,731,150 | 69,184,882 | Indirect | |
| Nov 1, 2022 | Common Stock | SSaleDisposed | −1,400 | $79.85F2 | −$111,790 | 69,183,482 | Indirect | |
| Nov 1, 2022 | Common Stock | SSaleDisposed | −380 | $79.83 | −$30,335.4 | 69,183,102 | Indirect | |
| Nov 1, 2022 | Common Stock | SSaleDisposed | −380 | $79.81F3 | −$30,327.8 | 69,182,722 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was executed in multiple trades at prices ranging from $79.03 to $79.93. 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.
Referenced by the price of 1 transaction in Table I.
- F2
This transaction was executed in multiple trades at prices ranging from $79.850 to $79.865. 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.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $79.80 to $79.82. 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.
Referenced by the price of 1 transaction in Table I.