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SCHWAB CHARLES CORP — Director's Dealing 2014
Aug 4, 2014
10451_dirs_2014-08-04_1219f86e-7a46-4a90-8436-80edc76310fd.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: 2014-08-01
Reporting Person: Allen Jay L (EVP and Chief Admin Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-08-01 | Common Stock | M | 10444.0000 | $12.4500 | Acquired | 16097.5645 | Indirect |
| 2014-08-01 | Common Stock | M | 9249.0000 | $15.0500 | Acquired | 25346.5645 | Indirect |
| 2014-08-01 | Common Stock | S | 9249.0000 | $27.5148 | Disposed | 16097.5645 | Indirect |
| 2014-08-01 | Common Stock | S | 10444.0000 | $27.5072 | Disposed | 5653.5645 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-08-01 | Nonqualified Stock Option (right to buy) | $15.0500 | M | 9249.0000 | Disposed | 2021-08-01 | Common Stock (9249.0000) | Direct |
| 2014-08-01 | Nonqualified Stock Option (right to buy) | $12.4500 | M | 10444.0000 | Disposed | 2022-08-01 | Common Stock (10444.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1661.0000 | 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 $27.34 to $27.70. 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 $27.30 to $27.70. 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.