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SCHWAB CHARLES CORP — Director's Dealing 2013
Oct 18, 2013
10451_dirs_2013-10-18_df91a71d-992e-4447-9a4e-12f4b015d1c2.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: 2013-10-16
Reporting Person: Allen Jay L (EVP - Human Resources)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-10-16 | Common Stock | M | 24396.0000 | $15.0000 | Acquired | 41862.6945 | Indirect |
| 2013-10-16 | Common Stock | M | 18499.0000 | $15.0500 | Acquired | 60361.6945 | Indirect |
| 2013-10-16 | Common Stock | M | 16572.0000 | $15.4300 | Acquired | 76933.6945 | Indirect |
| 2013-10-16 | Common Stock | M | 10444.0000 | $12.4500 | Acquired | 87377.6945 | Indirect |
| 2013-10-16 | Common Stock | M | 10367.0000 | $11.7500 | Acquired | 97744.6945 | Indirect |
| 2013-10-16 | Common Stock | M | 8264.0000 | $13.9100 | Acquired | 106008.6945 | Indirect |
| 2013-10-16 | Common Stock | S | 5000.0000 | $23.6810 | Disposed | 101008.6945 | Indirect |
| 2013-10-16 | Common Stock | S | 88542.0000 | $23.5413 | Disposed | 12466.6945 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-10-16 | Nonqualified Stock Option (right to buy) | $13.9100 | M | 8264.0000 | Disposed | 2022-03-01 | Common Stock (8264.0000) | Direct |
| 2013-10-16 | Nonqualified Stock Option (right to buy) | $15.0500 | M | 18499.0000 | Disposed | 2021-08-01 | Common Stock (18499.0000) | Direct |
| 2013-10-16 | Nonqualified Stock Option (right to buy) | $12.4500 | M | 10444.0000 | Disposed | 2022-08-01 | Common Stock (10444.0000) | Direct |
| 2013-10-16 | Nonqualified Stock Option (right to buy) | $15.0000 | M | 24396.0000 | Disposed | 2020-08-02 | Common Stock (24396.0000) | Direct |
| 2013-10-16 | Nonqualified Stock Option (right to buy) | $15.4300 | M | 16572.0000 | Disposed | 2020-11-01 | Common Stock (16572.0000) | Direct |
| 2013-10-16 | Nonqualified Stock Option (right to buy) | $11.7500 | M | 10367.0000 | Disposed | 2021-11-01 | Common Stock (10367.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1404.0000 | Indirect |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $23.6808 to $23.6810. 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.
F2: This transaction was executed in multiple trades at prices ranging from $23.3250 to $23.7908. 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.