Form 4 · SCHW
Charles Schwab MD Neesha Hathi reports selling 5,000 shares under a 10b5-1 plan
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Neesha Hathi, Charles Schwab's MD, Head Wealth Adv, Bnk, Tst, filed a Form 4 on Nov 3, 2026 at 5:29 PM ET reporting transactions on Nov 2, 2026.
The filing reports 5,000 shares in an open-market or private sale (code S) at $88.92, about $444,618 in total; and 5,000 shares in an exercise or conversion of a derivative security (code M).
The filing says the sales were made under a Rule 10b5-1 trading plan adopted May 29, 2026.
After these transactions, the filing lists 0 shares held directly plus indirect holdings.
Effect on holdings
Neesha Hathi reported no directly held shares before these transactions, according to the filing's own figures.
Reporting person
- Neesha Hathi, MD, Head Wealth Adv, Bnk, Tst (as filed: Hathi Neesha)
Transactions as reported
| Date | Code | Security | Shares | Price | Acquired or disposed | Held after | Ownership |
|---|---|---|---|---|---|---|---|
| 2026-11-02 | M | Common Stock | 5,000 | $64.10 | Acquired | 0 | Direct |
| 2026-11-02 | S | Common Stock | 5,000 | $88.92 | Disposed | 5,770 | Indirect: by Trust |
| 2026-11-02 | M | Nonqualified Stock Option (right to buy) (derivative) | 5,000 | Disposed | 68,246 | Direct |
Codes: P purchase, S sale, A grant or award, M/X/C exercise or conversion, F shares withheld for taxes or the exercise price, G gift. Prices are as reported; some are weighted averages of several trades.
Source
- Form 4 filed Nov 3, 2026 (document)
- Filing index on SEC EDGAR (all documents and exhibits)
Charles Schwab company file → · More Charles Schwab filings
Disclosures
- Editor holdings in SCHW
- The editor holds no position in Charles Schwab (SCHW). As of Nov 11, 2026.
- Last updated
- Nov 3, 2026
A summary of a public filing for general education, the same for every reader. Not a recommendation to buy, sell or hold SCHW.