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SCHWAB CHARLES CORP — Director's Dealing 2012
Nov 5, 2012
10451_dirs_2012-11-05_d52fdc07-86e2-496c-b425-806c0feba5a7.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: 2012-11-01
Reporting Person: SCHWAB CHARLES R (Director, Chairman, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-01 | Common Stock | A | 18148.0000 | $0.0000 | Acquired | 4431381.0000 | Direct |
| 2012-11-01 | Common Stock | S | 1000000.0000 | $13.5905 | Disposed | 123393412.0000 | Indirect |
| 2012-11-02 | Common Stock | S | 750000.0000 | $13.7312 | Disposed | 122643412.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-11-01 | Nonqualified Stock Option (right to buy) | $13.6400 | A | 150000.0000 | Acquired | 2022-11-01 | Common Stock (150000.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 44025.0000 | Indirect |
| Common Stock | 38537941.0000 | Indirect |
| Common Stock | 6091465.3300 | Indirect |
Footnotes
F1: Shares acquired on the vesting of restricted stock units.
F2: This transaction was executed in multiple trades at prices ranging from $13.495 to $13.64. 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.
F3: This transaction was executed in multiple trades at prices ranging from $13.65 to $13.81. 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.
F4: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.