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SCHWAB CHARLES CORP — Director's Dealing 2013
Jun 27, 2013
10451_dirs_2013-06-27_7eccb941-9f75-4daf-804f-af2043940c83.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: 2013-06-25
Reporting Person: Dwyer Carrie E (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-06-25 | Common Stock | M | 13027.0000 | $15.0000 | Acquired | 103094.0000 | Indirect |
| 2013-06-25 | Common Stock | S | 13027.0000 | $20.9722 | Disposed | 90067.0000 | Indirect |
| 2013-06-26 | Common Stock | M | 400.0000 | $15.0500 | Acquired | 90467.0000 | Indirect |
| 2013-06-26 | Common Stock | S | 400.0000 | $21.2550 | Disposed | 90067.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-06-25 | Nonqualified Stock Option (right to buy) | $15.0000 | M | 13027.0000 | Disposed | 2020-08-02 | Common Stock (13027.0000) | Direct |
| 2013-06-26 | Nonqualified Stock Option (right to buy) | $15.0500 | M | 400.0000 | Disposed | 2021-08-01 | Common Stock (400.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1220.9670 | Indirect |
| Common Stock | 8805.0000 | Indirect |
| Common Stock | 8805.0000 | Indirect |
Footnotes
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 30, 2013.
F2: This transaction was executed in multiple trades at prices ranging from $20.95 to $21.00. 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 $21.25 to $21.26. 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.