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SCHWAB CHARLES CORP — Director's Dealing 2013
Jul 2, 2013
10451_dirs_2013-07-02_f724c2f5-8802-420a-ae25-6e8716f79c2e.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: 2013-06-28
Reporting Person: Dwyer Carrie E (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-06-28 | Common Stock | M | 15191.0000 | $15.4300 | Acquired | 105258.0000 | Indirect |
| 2013-06-28 | Common Stock | M | 11418.0000 | $15.0500 | Acquired | 116676.0000 | Indirect |
| 2013-06-28 | Common Stock | S | 26609.0000 | $21.2563 | Disposed | 90067.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-06-28 | Nonqualified Stock Option (right to buy) | $15.0500 | M | 11418.0000 | Disposed | 2021-08-01 | Common Stock (11418.0000) | Direct |
| 2013-06-28 | Nonqualified Stock Option (right to buy) | $15.4300 | M | 15191.0000 | Disposed | 2020-11-01 | Common Stock (15191.0000) | 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 $21.25 to $21.44. 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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