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SCHWAB CHARLES CORP — Director's Dealing 2014
Aug 5, 2014
10451_dirs_2014-08-05_8921f034-44ae-4584-aafa-d2f31cd4c125.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 |
|---|---|---|---|---|---|---|---|
| 2014-08-04 | Common Stock | M | 8132.0000 | $15.0000 | Acquired | 13785.5645 | Indirect |
| 2014-08-04 | Common Stock | S | 8132.0000 | $27.4387 | 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) | $27.4500 | A | 22462.0000 | Acquired | 2024-08-01 | Common Stock (22462.0000) | Direct |
| 2014-08-04 | Nonqualified Stock Option (right to buy) | $15.0000 | M | 8132.0000 | Disposed | 2020-08-02 | Common Stock (8132.0000) | 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 $27.27 to $27.55. 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: 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.