Schwab-Pomerantz Carolyn's Form 4 filing
Schwab Charles Corp (SCHW) · filed Apr 22, 2024
- Accession no.
- 0001950787-24-000008
- Filed
- Apr 22, 2024
- Trade date
- Apr 18-19, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.21M. It was filed 4 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-Pomerantz CarolynCIK 0001950787 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Apr 18, 2024 | Common Stock | MOption exerciseAcquired | +7,482 | $28.44 | +$212,788.08 | 6,353 | Direct | |
| Apr 18, 2024 | Common Stock | SSaleDisposed | −7,482 | $73.47F2 | −$549,702.54 | 1,719,398.66 | Indirect | |
| Apr 19, 2024 | Common Stock | SSaleDisposed | −5,400 | $73.17F4 | −$395,118 | 1,713,998.66 | Indirect | |
| Apr 19, 2024 | Common Stock | SSaleDisposed | −3,600 | $73.16F5 | −$263,376 | 577,857 | 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 18, 2024 | Common Stock | MOption exerciseDisposed | −7,482 | $0.00 | $0 | 0 | Direct |
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.
- F2
The transaction was executed in multiple trades at prices ranging from $73.2701 to $73.585. 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 transfer of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F4
The transaction was executed in multiple trades at prices ranging from $72.88 to $73.42. 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 transfer of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F5
The transaction was executed in multiple trades at prices ranging from $72.88 to $73.41. 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 transfer of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.