Clark Bernard J.'s Form 4 filing
Schwab Charles Corp (SCHW) · filed Oct 27, 2021
- Accession no.
- 0001225208-21-013308
- Filed
- Oct 27, 2021
- Trade date
- Oct 25-26, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.38M. It was filed 2 days after the trade.
This filing was later replaced by the amendment 0001225208-22-005691 (Apr 7, 2022). Trade tables on this site use the amended version.
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 |
|---|---|
| Clark Bernard J.CIK 0001564429 | Officer (EVP - Advisor Services) |
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 25, 2021 | Common Stock | AGrant or awardAcquired | +59,931 | $0.00 | $0 | 59,931 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseAcquired | +28,370 | $42.99 | +$1,219,626.3 | 100,638.81 | Indirect | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −28,370 | $84.00F3 | −$2,383,080 | 72,268.81 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 26, 2021 | Common Stock | MOption exerciseDisposed | −28,370 | $0.00 | $0 | 28,670 | 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.
- F3
This transaction was executed in multiple trades at prices ranging from $84.00 to $84.02. 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.