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SCHWAB CHARLES CORP — Director's Dealing 2013
Nov 4, 2013
10451_dirs_2013-11-04_fb126f3b-b003-4da1-b036-b930f945f605.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: Dwyer Carrie E (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-01 | Common Stock | M | 13823.0000 | $11.7500 | Acquired | 103890.0000 | Indirect |
| 2013-11-01 | Common Stock | M | 12500.0000 | $13.6400 | Acquired | 116390.0000 | Indirect |
| 2013-11-01 | Common Stock | M | 9514.0000 | $15.4300 | Acquired | 125904.0000 | Indirect |
| 2013-11-01 | Common Stock | S | 35837.0000 | $22.8965 | Disposed | 90067.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-01 | Nonqualified Stock Option (right to buy) | $15.4300 | M | 9514.0000 | Disposed | 2020-11-01 | Common Stock (9514.0000) | Direct |
| 2013-11-01 | Nonqualified Stock Option (right to buy) | $11.7500 | M | 13823.0000 | Disposed | 2021-11-01 | Common Stock (13823.0000) | Direct |
| 2013-11-01 | Nonqualified Stock Option (right to buy) | $13.6400 | M | 12500.0000 | Disposed | 2022-11-01 | Common Stock (12500.0000) | 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 $22.635 to $23.06. 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.
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