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SCHWAB CHARLES CORP — Director's Dealing 2016
Oct 28, 2016
10451_dirs_2016-10-28_83dbd60e-2da2-45cd-9186-bfe10f24201a.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: 2016-10-26
Reporting Person: MARTINETTO JOSEPH R (Senior EVP and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-10-26 | Common Stock | M | 80000.0000 | $17.3800 | Acquired | 226211.0000 | Direct |
| 2016-10-26 | Common Stock | S | 80000.0000 | $32.1606 | Disposed | 146211.0000 | Direct |
| 2016-10-27 | Common Stock | M | 122920.0000 | $19.3600 | Acquired | 269131.0000 | Direct |
| 2016-10-27 | Common Stock | M | 46507.0000 | $17.3800 | Acquired | 315638.0000 | Direct |
| 2016-10-27 | Common Stock | S | 46507.0000 | $32.2204 | Disposed | 269131.0000 | Direct |
| 2016-10-27 | Common Stock | S | 122920.0000 | $32.2204 | Disposed | 146211.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-10-26 | Nonqualified Stock Option (right to buy) | $17.3800 | M | 80000.0000 | Disposed | 2019-11-02 | Common Stock (80000.0000) | Direct |
| 2016-10-27 | Nonqualified Stock Option (right to buy) | $17.3800 | M | 46507.0000 | Disposed | 2019-11-02 | Common Stock (46507.0000) | Direct |
| 2016-10-27 | Nonqualified Stock Option (right to buy) | $19.3600 | M | 122920.0000 | Disposed | 2018-11-03 | Common Stock (122920.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 610.8500 | Indirect |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $32.13 to $32.20. 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.
F2: This transaction was executed in multiple trades at prices ranging from $32.031 to $32.41. 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.