Schwab (SCHW) executive Neesha Hathi files Form 3 showing stock and option positions
Rhea-AI Filing Summary
SCHWAB CHARLES CORP officer Neesha Hathi filed an initial ownership report showing indirect holdings of 5,770 shares of Common Stock held by a trust. She also reports several nonqualified stock options to acquire Common Stock, with exercise prices ranging from $41.98 to $95.49 per share and expiration dates between 2028 and 2036. The options were granted under the company’s 2013 and 2022 Stock Incentive Plans and vest in four equal annual installments beginning on the first anniversary of each grant.
Positive
- None.
Negative
- None.
Insider Trade Summary
10 transactions reported
Mixed
10 txns
Insider
Hathi Neesha
Role
MD, Head Wealth Adv, Bnk, Tst
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Nonqualified Stock Option (right to buy) | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Nonqualified Stock Option (right to buy) — 6,354 shares (Direct);
Common Stock — 5,770 shares (Indirect, By Trust)
Footnotes (1)
- The option was granted under the company's 2013 Stock Incentive Plan and vested in four equal annual installments beginning on the first anniversary of the grant date. The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.
Key Figures
Indirect Common Stock holdings: 5,770 shares
Option exercise price: $95.49 per share
Option exercise price: $78.12 per share
+3 more
6 metrics
Indirect Common Stock holdings
5,770 shares
Common Stock held indirectly by trust following reported holdings
Option exercise price
$95.49 per share
Nonqualified Stock Option exercisable for 23,818 underlying shares, expiring 2036-03-02
Option exercise price
$78.12 per share
Nonqualified Stock Option exercisable for 30,096 underlying shares, expiring 2035-03-03
Option exercise price
$66.47 per share
Nonqualified Stock Option exercisable for 32,478 underlying shares, expiring 2034-03-01
Largest option position
73,246 shares
Underlying Common Stock for option with $64.10 exercise price, expiring 2031-03-01
Earliest option expiration
2028-03-01
Nonqualified Stock Option with $52.05 exercise price on 6,354 underlying shares
Key Terms
Nonqualified Stock Option (right to buy), Stock Incentive Plan, indirect, exercise price
4 terms
Nonqualified Stock Option (right to buy) financial
"security_title: "Nonqualified Stock Option (right to buy)""
Stock Incentive Plan financial
"The option was granted under the company's 2013 Stock Incentive Plan"
A stock incentive plan is a company program that gives employees or directors pieces of ownership or the right to buy shares over time, similar to receiving a bonus paid in company stock instead of cash. Investors pay attention because these plans align staff incentives with long‑term company performance but can also dilute existing shareholders and affect reported profits when grants are expensed, so they influence both ownership percentages and financial results.
indirect financial
"ownership_type: "indirect" with nature_of_ownership "By Trust""
exercise price financial
"conversion_or_exercise_price: "64.1000" for option expiring 2031-03-01"
The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.
AI-generated analysis. How Rhea-AI works. Not financial advice.
FAQ
What did SCHW insider Neesha Hathi report on this Form 3?
Neesha Hathi reported 5,770 shares of SCHW Common Stock held indirectly by a trust and multiple nonqualified stock options to acquire additional shares, with various exercise prices and expiration dates.
What stock options does Neesha Hathi hold in SCHW?
She holds several nonqualified stock options on SCHW Common Stock, including grants over 23,818, 30,096, 32,478, 28,272, and other share amounts, each with its own exercise price and expiration date through 2036.
What are the exercise prices of Neesha Hathi’s SCHW options?
Reported option exercise prices include $95.49, $78.12, $77.41, $77.86, $66.47, $64.10, $52.05, $46.81, and $41.98 per share, covering multiple grant years.
When do Neesha Hathi’s SCHW options expire?
The disclosed SCHW nonqualified stock options expire on dates ranging from March 1, 2028 to March 2, 2036, providing a long exercise window across several years.
Under which plans were Neesha Hathi’s SCHW options granted?
Footnotes state the options were granted under SCHW’s 2013 Stock Incentive Plan and 2022 Stock Incentive Plan, with vesting in four equal annual installments beginning on each grant’s first anniversary.