Schwab Charles R.'s Form 4 filing
Schwab Charles Corp (SCHW) · filed Nov 17, 2021
- Accession no.
- 0001225208-21-013915
- Filed
- Nov 17, 2021
- Trade date
- Nov 15-16, 2021
- 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 $8.04M. 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 (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 |
|---|---|---|---|---|---|---|---|---|
| Nov 15, 2021 | Common Stock | SSaleDisposed | −24,550 | $82.05F1 | −$2,014,327.5 | 81,028,504 | Indirect | |
| Nov 15, 2021 | Common Stock | SSaleDisposed | −24,550 | $81.89F2 | −$2,010,399.5 | 81,003,954 | Indirect | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −24,550 | $81.72F3 | −$2,006,226 | 80,979,404 | Indirect | |
| Nov 16, 2021 | Common Stock | SSaleDisposed | −24,550 | $81.72F4 | −$2,006,226 | 80,954,854 | 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 $81.63 to $82.215. 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 $81.63 to $82.11. 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 $81.70 to $81.77. 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.
- F4
This transaction was executed in multiple trades at prices ranging from $81.695 to $81.765. 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.