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SCHWAB CHARLES CORP — Director's Dealing 2013
Nov 8, 2013
10451_dirs_2013-11-08_a0633a3d-2f2b-4a83-a03a-18570d5b61f7.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: 2013-11-06
Reporting Person: SCHWAB CHARLES R (Director, Chairman, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-06 | Common Stock | M | 157335.0000 | $13.1185 | Acquired | 1558157.0000 | Direct |
| 2013-11-06 | Common Stock | S | 157335.0000 | $23.1615 | Disposed | 1400822.0000 | Direct |
| 2013-11-07 | Common Stock | M | 157335.0000 | $13.1185 | Acquired | 1558157.0000 | Direct |
| 2013-11-07 | Common Stock | S | 157335.0000 | $23.0206 | Disposed | 1400822.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-06 | Nonqualified Stock Option (right to buy) | $13.1185 | M | 157335.0000 | Disposed | 2014-01-20 | Common Stock (157335.0000) | Direct |
| 2013-11-07 | Nonqualified Stock Option (right to buy) | $13.1185 | M | 157335.0000 | Disposed | 2014-01-20 | Common Stock (157335.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 44025.0000 | Indirect |
| Common Stock | 38537941.0000 | Indirect |
| Common Stock | 5601465.3300 | Indirect |
| Common Stock | 117826242.0000 | Indirect |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $23.095 to $23.23. 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.
F2: This transaction was executed in multiple trades at prices ranging from $22.735 to $23.35. 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.