Schwab exec Hathi sells 3,177 shares at $109

Q: How many SCHW shares does Neesha Hathi hold after the reported transactions?

After these transactions, 5,770 shares of SCHW common stock are reported as held indirectly by a trust. The option position involved in this Form 4 was fully exercised, leaving no shares remaining under that specific option grant.

Q: What were the exercise and sale prices in Neesha Hathi’s SCHW Form 4 transactions?

The nonqualified stock option was exercised at $52.05 per share. The resulting 3,177 SCHW shares were sold in multiple trades at prices ranging from $108.51 to $109.50, with a weighted average sale price of $109.04 per share.

Q: What type of equity award did Neesha Hathi exercise in this SCHW Form 4?

Neesha Hathi exercised a Nonqualified Stock Option (right to buy) for 3,177 underlying shares of SCHW common stock, granted under the company’s 2013 Stock Incentive Plan, with an exercise price of $52.05 and an expiration date of March 1, 2028.

A Schwab executive exercised options and, via a trust and Rule 10b5-1 plan, sold 3,177 shares while retaining 5,770 shares indirectly.

Filing Impact

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Filing Sentiment

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Form Type

Rhea-AI Filing Summary

SCHWAB CHARLES CORP (SCHW) executive Neesha Hathi, MD and Head of Wealth Advisory, Banking and Trust, exercised a nonqualified stock option for 3,177 shares of common stock at an exercise price of $52.05 per share on September 1, 2026. The shares received were contributed to a trust, which then sold 3,177 shares at a weighted average price of $109.04 per share pursuant to a Rule 10b5-1 trading plan, leaving 5,770 shares of SCHW common stock held indirectly by the trust.

Insider Trade Summary 10b5-1

Exercise and sale activity reported; no spread calculated

Exercise and Sale 3 txns

Insider Hathi Neesha

Role MD, Head Wealth Adv, Bnk, Tst

Sold 3,177 shs ($346K)

Approx. gross sale proceeds $346K

Approx. exercise cost $165K

Type	Security	Shares	Price	Value
Exercise	Nonqualified Stock Option (right to buy) ^F4	3,177	$0.00	$0.00
Exercise	Common Stock ^F1	3,177	$52.05	$165K
Sale	Common Stock ^{F2, F3, F1}	3,177	$109.0425	$346K

Holdings After Transaction: Nonqualified Stock Option (right to buy) — 0 contracts (Direct); Common Stock — 0 shares (Direct); Common Stock — 5,770 shares (Indirect, by Trust)

Footnotes (4)

F1. Reflects the contribution of the shares received upon exercise of the option to a trust.
F2. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 29, 2026.
F3. This transaction was executed in multiple trades at prices ranging from $108.51 to $109.50. 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 affected.
F4. 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.

Key Figures

Shares acquired via option exercise: 3,177 shares Option exercise price: $52.05 per share Shares sold by trust: 3,177 shares +5 more

8 metrics

Shares acquired via option exercise 3,177 shares Nonqualified stock option for SCHW common stock exercised on September 1, 2026

Option exercise price $52.05 per share Exercise price of nonqualified stock option granted under 2013 Stock Incentive Plan

Shares sold by trust 3,177 shares SCHW common stock sold on September 1, 2026 following option exercise

Weighted average sale price $109.04 per share Multiple trades executed between $108.51 and $109.50 for SCHW common stock

Post-transaction indirect holdings 5,770 shares SCHW common stock held indirectly by trust after the sale

Option shares exercised 3,177 shares Nonqualified stock option position reduced to zero after exercise

Option expiration date March 1, 2028 Expiration of nonqualified stock option exercised on September 1, 2026

Rule 10b5-1 plan adoption date May 29, 2026 Date Neesha Hathi adopted the trading plan used for the reported sales

Key Terms

Nonqualified Stock Option, Rule 10b5-1 trading plan, weighted average sale price, 2013 Stock Incentive Plan, +1 more

5 terms

Nonqualified Stock Option financial

"security titled "Nonqualified Stock Option (right to buy)" was exercised"

A nonqualified stock option (NQSO) is a company grant that gives an individual the right to buy shares at a set price but does not meet special tax rules for incentive stock options; when exercised the difference between the market price and the exercise price is treated as ordinary income for the recipient and as a tax-deductible expense for the company. It matters to investors because NQSOs affect an employee’s after-tax proceeds, the company’s reported expenses, and potential share dilution—think of it like a cash bonus that converts into stock but is taxed as regular pay when you take it.

Rule 10b5-1 trading plan regulatory

"sales were effected pursuant to a Rule 10b5-1 trading plan"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

weighted average sale price financial

"transaction was executed in multiple trades and the price reported reflects the weighted average sale price"

2013 Stock Incentive Plan financial

"option was granted under the company's 2013 Stock Incentive Plan"

indirect ownership financial

"shares are reported as held indirectly by a trust"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did SCHW executive Neesha Hathi report on this Form 4 for SCHW?

Neesha Hathi reported exercising a nonqualified stock option for 3,177 shares of SCHW common stock at $52.05 per share and the subsequent sale of 3,177 shares held in a trust at a weighted average price of $109.04 per share on September 1, 2026.

Was the SCHW insider sale by Neesha Hathi made under a Rule 10b5-1 trading plan?

Yes. The filing states that the sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by Neesha Hathi on May 29, 2026, indicating the transactions were pre-arranged under that plan.

How many SCHW shares does Neesha Hathi hold after the reported transactions?

After these transactions, 5,770 shares of SCHW common stock are reported as held indirectly by a trust. The option position involved in this Form 4 was fully exercised, leaving no shares remaining under that specific option grant.

What were the exercise and sale prices in Neesha Hathi’s SCHW Form 4 transactions?

The nonqualified stock option was exercised at $52.05 per share. The resulting 3,177 SCHW shares were sold in multiple trades at prices ranging from $108.51 to $109.50, with a weighted average sale price of $109.04 per share.

What type of equity award did Neesha Hathi exercise in this SCHW Form 4?

Neesha Hathi exercised a Nonqualified Stock Option (right to buy) for 3,177 underlying shares of SCHW common stock, granted under the company’s 2013 Stock Incentive Plan, with an exercise price of $52.05 and an expiration date of March 1, 2028.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/02/2026 - 09:04 PM EDT Accepted by SEC EDGAR 09/02/2026 - 09:04 PM EDT

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Hathi Neesha

(Last)

(First)

(Middle)

3000 SCHWAB WAY

(Street)

WESTLAKE

TEXAS

76262

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
SCHWAB CHARLES CORP [ SCHW ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	MD, Head Wealth Adv, Bnk, Tst

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	09/01/2026		M		3,177	A	$52.05	0⁽¹⁾	D
Common Stock	09/01/2026		S⁽²⁾		3,177	D	$109.0425⁽³⁾	5,770⁽¹⁾	I	by Trust

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Nonqualified Stock Option (right to buy)	$52.05	09/01/2026		M			3,177	03/01/2018⁽⁴⁾	03/01/2028	Common Stock	3,177	$0	0	D

Explanation of Responses:

1. Reflects the contribution of the shares received upon exercise of the option to a trust.

2. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 29, 2026.

3. This transaction was executed in multiple trades at prices ranging from $108.51 to $109.50. 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 affected.

4. 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.

Remarks:

	/s/ P. Blake Allen, Attorney-in-fact	09/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR