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SCHWAB CHARLES CORP — Director's Dealing 2014
Nov 5, 2014
10451_dirs_2014-11-05_d1fb1409-f445-43b4-ba0b-18eae68fc162.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: Allen Jay L (EVP and Chief Admin Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-11-03 | Common Stock | M | 10367.0000 | $11.7500 | Acquired | 16020.5645 | Indirect |
| 2014-11-03 | Common Stock | M | 10000.0000 | $13.6400 | Acquired | 26020.5645 | Indirect |
| 2014-11-03 | Common Stock | M | 8286.0000 | $15.4300 | Acquired | 34306.5645 | Indirect |
| 2014-11-03 | Common Stock | M | 4009.0000 | $28.5900 | Acquired | 38315.5645 | Indirect |
| 2014-11-03 | Common Stock | S | 8286.0000 | $28.6401 | Disposed | 30029.5645 | Indirect |
| 2014-11-03 | Common Stock | S | 10000.0000 | $28.5803 | Disposed | 20029.5645 | Indirect |
| 2014-11-03 | Common Stock | S | 10367.0000 | $28.5818 | Disposed | 9662.5645 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-11-03 | Nonqualified Stock Option (right to buy) | $15.4300 | M | 8286.0000 | Disposed | 2020-11-01 | Common Stock (8286.0000) | Direct |
| 2014-11-03 | Nonqualified Stock Option (right to buy) | $11.7500 | M | 10367.0000 | Disposed | 2021-11-01 | Common Stock (10367.0000) | Direct |
| 2014-11-03 | Nonqualified Stock Option (right to buy) | $13.6400 | M | 10000.0000 | Disposed | 2022-11-01 | Common Stock (10000.0000) | Direct |
| 2014-11-03 | Nonqualified Stock Option (right to buy) | $28.4400 | A | 20782.0000 | Acquired | 2024-11-03 | Common Stock (20782.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1712.0000 | 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 November 7, 2013.
F3: This transaction was executed in multiple trades at prices ranging from $28.54 to $28.77. 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 $28.353 to $28.77. 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 $28.353 to $28.79. 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.