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SCHWAB CHARLES CORP — Director's Dealing 2013
Nov 5, 2013
10451_dirs_2013-11-05_920ab1d9-f94b-491d-9545-b3fd3a5cb1cb.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: 2013-11-01
Reporting Person: Allen Jay L (EVP - Human Resources)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-01 | Common Stock | A | 4009.0000 | $0.0000 | Acquired | 16475.6945 | Indirect |
| 2013-11-05 | Common Stock | M | 10368.0000 | $11.7500 | Acquired | 26843.6945 | Indirect |
| 2013-11-05 | Common Stock | M | 10000.0000 | $13.6400 | Acquired | 36843.6945 | Indirect |
| 2013-11-05 | Common Stock | M | 8286.0000 | $15.4300 | Acquired | 45129.6945 | Indirect |
| 2013-11-05 | Common Stock | S | 28654.0000 | $23.0483 | Disposed | 16475.6945 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-01 | Nonqualified Stock Option (right to buy) | $23.1200 | A | 24016.0000 | Acquired | 2023-11-01 | Common Stock (24016.0000) | Direct |
| 2013-11-05 | Nonqualified Stock Option (right to buy) | $15.4300 | M | 8286.0000 | Disposed | 2020-11-01 | Common Stock (8286.0000) | Direct |
| 2013-11-05 | Nonqualified Stock Option (right to buy) | $11.7500 | M | 10368.0000 | Disposed | 2021-11-01 | Common Stock (10368.0000) | Direct |
| 2013-11-05 | Nonqualified Stock Option (right to buy) | $13.6400 | M | 10000.0000 | Disposed | 2022-11-01 | Common Stock (10000.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1462.0000 | Indirect |
Footnotes
F1: Shares acquired on the vesting of restricted stock units.
F2: This transaction was executed in multiple trades at prices ranging from $22.97 to $23.185. 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: The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.