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SCHWAB CHARLES CORP — Director's Dealing 2014
Mar 5, 2014
10451_dirs_2014-03-05_dd510fe5-6797-436e-84f6-ddd8d3da65f6.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: 2014-03-03
Reporting Person: Dwyer Carrie E (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-03 | Common Stock | M | 10927.0000 | $25.9650 | Acquired | 100994.0000 | Indirect |
| 2014-03-03 | Common Stock | M | 10331.0000 | $13.9100 | Acquired | 111325.0000 | Indirect |
| 2014-03-03 | Common Stock | S | 10331.0000 | $25.9265 | Disposed | 100994.0000 | Indirect |
| 2014-03-04 | Common Stock | M | 10089.0000 | $16.4000 | Acquired | 111083.0000 | Indirect |
| 2014-03-04 | Common Stock | M | 7608.0000 | $18.2500 | Acquired | 118691.0000 | Indirect |
| 2014-03-04 | Common Stock | S | 7608.0000 | $26.8230 | Disposed | 111083.0000 | Indirect |
| 2014-03-04 | Common Stock | S | 10089.0000 | $26.8106 | Disposed | 100994.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-03 | Nonqualified Stock Option (right to buy) | $13.9100 | M | 10331.0000 | Disposed | 2022-03-01 | Common Stock (10331.0000) | Direct |
| 2014-03-03 | Nonqualified Stock Option (right to buy) | $25.8600 | A | 23742.0000 | Acquired | 2024-03-03 | Common Stock (23742.0000) | Direct |
| 2014-03-04 | Nonqualified Stock Option (right to buy) | $18.2500 | M | 7608.0000 | Disposed | 2020-03-01 | Common Stock (7608.0000) | Direct |
| 2014-03-04 | Nonqualified Stock Option (right to buy) | $16.4000 | M | 10089.0000 | Disposed | 2023-03-01 | Common Stock (10089.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1230.2180 | Indirect |
| Common Stock | 8805.0000 | Indirect |
| Common Stock | 8805.0000 | Indirect |
Footnotes
F1: Shares acquired on the vesting of restricted stock units.
F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 19, 2014.
F3: This transaction was executed in multiple trades at prices ranging from $25.78 to $26.12. 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.
F4: This transaction was executed in multiple trades at prices ranging from $26.82 to $26.86. 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.
F5: This transaction was executed in multiple trades at prices ranging from $26.79 to $26.85. 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.
F6: 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.