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SCHWAB CHARLES CORP — Director's Dealing 2016
Nov 23, 2016
10451_dirs_2016-11-23_a362b142-371a-4f82-9fb9-45cb5fa28fc6.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: 2016-11-22
Reporting Person: Clark Bernard J. (EVP - Advisor Services)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-11-22 | Common Stock | M | 23500.0000 | $11.7500 | Acquired | 76232.0696 | Indirect |
| 2016-11-22 | Common Stock | M | 22194.0000 | $12.4500 | Acquired | 98426.0696 | Indirect |
| 2016-11-22 | Common Stock | M | 17562.0000 | $13.9100 | Acquired | 115988.0696 | Indirect |
| 2016-11-22 | Common Stock | S | 17562.0000 | $38.1382 | Disposed | 98426.0696 | Indirect |
| 2016-11-22 | Common Stock | S | 22194.0000 | $38.1382 | Disposed | 76232.0696 | Indirect |
| 2016-11-22 | Common Stock | S | 23500.0000 | $38.1382 | Disposed | 52732.0696 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-22 | Nonqualified Stock Option (right to buy) | $13.9100 | M | 17562.0000 | Disposed | 2022-03-01 | Common Stock (17562.0000) | Direct |
| 2016-11-22 | Nonqualified Stock Option (right to buy) | $12.4500 | M | 22194.0000 | Disposed | 2022-08-01 | Common Stock (22194.0000) | Direct |
| 2016-11-22 | Nonqualified Stock Option (right to buy) | $11.7500 | M | 23500.0000 | Disposed | 2021-11-01 | Common Stock (23500.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 3403.0370 | Indirect |
| Common Stock | 610.4900 | Indirect |
Footnotes
F1: This transaction was executed in multiple trades at prices ranging from $38.07 to $38.20. 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.
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