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SCHWAB CHARLES CORP — Director's Dealing 2013
Dec 11, 2013
10451_dirs_2013-12-11_403cd8a4-a81b-40b5-9b8b-c8a38ab441cc.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: 2013-12-09
Reporting Person: Allen Jay L (EVP - Human Resources)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-09 | Common Stock | M | 17202.0000 | $23.3295 | Acquired | 27647.6945 | Indirect |
| 2013-12-09 | Common Stock | M | 10651.0000 | $18.6600 | Acquired | 38298.6945 | Indirect |
| 2013-12-09 | Common Stock | S | 2979.0000 | $25.0296 | Disposed | 35319.6945 | Indirect |
| 2013-12-09 | Common Stock | S | 27853.0000 | $25.0642 | Disposed | 7466.6945 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-12-09 | Nonqualified Stock Option (right to buy) | $18.6600 | M | 10651.0000 | Disposed | 2021-03-01 | Common Stock (10651.0000) | Direct |
| 2013-12-09 | Nonqualified Stock Option (right to buy) | $23.3295 | M | 17202.0000 | Disposed | 2014-11-01 | Common Stock (17202.0000) | 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 $25.00 to $25.06. 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 $24.97 to $25.115. 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.