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SCHWAB CHARLES CORP — Director's Dealing 2014
Nov 5, 2014
10451_dirs_2014-11-05_7de0aeb9-32c2-44de-a0fa-f2dbec25665e.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: 2014-11-03
Reporting Person: SCHWAB CHARLES R (Director, Chairman, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-11-03 | Common Stock | M | 16032.0000 | $28.5900 | Acquired | 675480.0000 | Direct |
| 2014-11-03 | Common Stock | S | 250000.0000 | $28.4234 | Disposed | 36887941.0000 | Indirect |
| 2014-11-04 | Common Stock | S | 250000.0000 | $28.4934 | Disposed | 36637941.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-11-03 | Nonqualified Stock Option (right to buy) | $28.4400 | A | 62345.0000 | Acquired | 2024-11-10 | Common Stock (62345.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 44025.0000 | Indirect |
| Common Stock | 5316215.3300 | Indirect |
| Common Stock | 113583962.0000 | Indirect |
Footnotes
F1: Shares acquired on the vesting of restricted stock units.
F2: This transaction was executed in multiple trades at prices ranging from $28.345 to $28.635. 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 $28.23 to $28.62. 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: 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.