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SCHWAB CHARLES CORP — Director's Dealing 2013
Dec 4, 2013
10451_dirs_2013-12-04_88485b9f-c54c-4ea4-a98b-6758b3a44a49.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: 2013-12-02
Reporting Person: Allen Jay L (EVP - Human Resources)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-02 | Common Stock | M | 81947.0000 | $19.3600 | Acquired | 98422.6945 | Indirect |
| 2013-12-02 | Common Stock | M | 79067.0000 | $17.3800 | Acquired | 177489.6945 | Indirect |
| 2013-12-02 | Common Stock | M | 26049.0000 | $22.6500 | Acquired | 203538.6945 | Indirect |
| 2013-12-02 | Common Stock | M | 21067.0000 | $18.2500 | Acquired | 224605.6945 | Indirect |
| 2013-12-02 | Common Stock | M | 4700.0000 | $18.6600 | Acquired | 229305.6945 | Indirect |
| 2013-12-02 | Common Stock | M | 1100.0000 | $23.3295 | Acquired | 230405.6945 | Indirect |
| 2013-12-02 | Common Stock | S | 6030.0000 | $24.9090 | Disposed | 224375.6945 | Indirect |
| 2013-12-02 | Common Stock | S | 213930.0000 | $24.9265 | Disposed | 10445.6945 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-02 | Nonqualified Stock Option (right to buy) | $18.2500 | M | 21067.0000 | Disposed | 2020-03-01 | Common Stock (21067.0000) | Direct |
| 2013-12-02 | Nonqualified Stock Option (right to buy) | $18.6600 | M | 4700.0000 | Disposed | 2021-03-01 | Common Stock (4700.0000) | Direct |
| 2013-12-02 | Nonqualified Stock Option (right to buy) | $23.3295 | M | 1100.0000 | Disposed | 2014-11-01 | Common Stock (1100.0000) | Direct |
| 2013-12-02 | Nonqualified Stock Option (right to buy) | $22.6500 | M | 26049.0000 | Disposed | 2014-11-01 | Common Stock (26049.0000) | Direct |
| 2013-12-02 | Nonqualified Stock Option (right to buy) | $17.3800 | M | 79067.0000 | Disposed | 2019-11-02 | Common Stock (79067.0000) | Direct |
| 2013-12-02 | Nonqualified Stock Option (right to buy) | $19.3600 | M | 81947.0000 | Disposed | 2018-11-03 | Common Stock (81947.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1462.0000 | 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 November 7, 2013.
F2: This transaction was executed in multiple trades at prices ranging from $24.57 to $25.13. 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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