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SCHWAB CHARLES CORP — Director's Dealing 2016
Oct 21, 2016
10451_dirs_2016-10-21_37453280-e64b-42a9-8fc6-aeb963217a8f.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: 2016-10-20
Reporting Person: Bettinger Walter W (Director, President and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-10-20 | Common Stock | M | 281909.0000 | $15.0000 | Acquired | 626367.8859 | Direct |
| 2016-10-20 | Common Stock | M | 243446.0000 | $18.2500 | Acquired | 869813.8859 | Direct |
| 2016-10-20 | Common Stock | M | 73241.0000 | $17.3800 | Acquired | 943054.8859 | Direct |
| 2016-10-20 | Common Stock | S | 73241.0000 | $32.3367 | Disposed | 869813.8859 | Direct |
| 2016-10-20 | Common Stock | S | 243446.0000 | $32.3367 | Disposed | 626367.8859 | Direct |
| 2016-10-20 | Common Stock | S | 281909.0000 | $32.3367 | Disposed | 344458.8859 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-10-20 | Nonqualified Stock Option (right to buy) | $18.2500 | M | 243446.0000 | Disposed | 2020-03-01 | Common Stock (243446.0000) | Direct |
| 2016-10-20 | Nonqualified Stock Option (right to buy) | $15.0000 | M | 281909.0000 | Disposed | 2020-08-02 | Common Stock (281909.0000) | Direct |
| 2016-10-20 | Nonqualified Stock Option (right to buy) | $17.3800 | M | 73241.0000 | Disposed | 2019-11-02 | Common Stock (73241.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5946.6130 | Indirect |
| Common Stock | 1277.0000 | Indirect |
| Common Stock | 2277.2253 | Indirect |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $32.2 to $32.56. 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.
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