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SCHWAB CHARLES CORP — Director's Dealing 2011
Apr 22, 2011
10451_dirs_2011-04-22_43a7e611-e9f7-4e66-8ec1-80951714e1b2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SCHWAB CHARLES CORP (SCHW)
CIK: 0000316709
Period of Report: 2011-04-21
Reporting Person: Dwyer Carrie E (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-04-21 | Common Stock | M | 127965.0000 | $14.3198 | Acquired | 316974.0000 | Indirect |
| 2011-04-21 | Common Stock | M | 78667.0000 | $9.2573 | Acquired | 395641.0000 | Indirect |
| 2011-04-21 | Common Stock | M | 25593.0000 | $9.7245 | Acquired | 421234.0000 | Indirect |
| 2011-04-21 | Common Stock | M | 19666.0000 | $12.4988 | Acquired | 440900.0000 | Indirect |
| 2011-04-21 | Common Stock | M | 6555.0000 | $12.4988 | Acquired | 447455.0000 | Indirect |
| 2011-04-21 | Common Stock | S | 205831.0000 | $18.7360 | Disposed | 241624.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-04-21 | Incentive Stock Option (right to buy) | $12.4988 | M | 6555.0000 | Disposed | 2012-02-27 | Common Stock (6555.0000) | Direct |
| 2011-04-21 | Nonqualified Stock Option (right to buy) | $12.4988 | M | 19666.0000 | Disposed | 2012-02-27 | Common Stock (19666.0000) | Direct |
| 2011-04-21 | Nonqualified Stock Option (right to buy) | $14.3198 | M | 127965.0000 | Disposed | 2011-07-18 | Common Stock (127965.0000) | Direct |
| 2011-04-21 | Nonqualified Stock Option (right to buy) | $9.7245 | M | 25593.0000 | Disposed | 2011-09-24 | Common Stock (25593.0000) | Direct |
| 2011-04-21 | Nonqualified Stock Option (right to buy) | $9.2573 | M | 78667.0000 | Disposed | 2012-11-08 | Common Stock (78667.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7937.0000 | Direct |
| Common Stock | 1178.1540 | Indirect |
| Common Stock | 8805.0000 | Indirect |
| Common Stock | 8805.0000 | Indirect |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $18.6675 to $18.825. 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.
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