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SCHWAB CHARLES CORP — Director's Dealing 2014
Apr 3, 2014
10451_dirs_2014-04-03_6fd01683-9432-4ff7-a6d3-a54fd7d100ce.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: 2014-04-01
Reporting Person: HERRINGER FRANK C (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-04-02 | Common Stock | M | 5244.0000 | $9.0571 | Acquired | 97210.0000 | Indirect |
| 2014-04-02 | Common Stock | F | 1718.0000 | $27.6350 | Disposed | 95492.0000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-04-01 | Restricted Stock Units | $ | A | 1093.0000 | Acquired | Common Stock (1093.0000) | Direct | |
| 2014-04-02 | Nonqualified Stock Option (right to buy) | $9.0571 | M | 5244.0000 | Disposed | 2014-05-17 | Common Stock (5244.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 9167.0000 | Direct |
| Common Stock | 50625.0000 | Indirect |
Footnotes
F1: Each restricted stock unit represents a contingent right to receive one share of company stock.
F2: The restricted stock units were received pursuant to the Directors' Deferred Compensation Plan II (the "Plan") and are held in a rabbi trust for the benefit of the reporting person pursuant to the terms of the Plan.
F3: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.
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