0001225208-13-022745.txt : 20131104
0001225208-13-022745.hdr.sgml : 20131104
20131104130911
ACCESSION NUMBER: 0001225208-13-022745
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131101
FILED AS OF DATE: 20131104
DATE AS OF CHANGE: 20131104
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SCHWAB CHARLES CORP
CENTRAL INDEX KEY: 0000316709
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 943025021
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 211 MAIN STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
BUSINESS PHONE: 415-667-7000
MAIL ADDRESS:
STREET 1: 211 MAIN STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dwyer Carrie E
CENTRAL INDEX KEY: 0001296424
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09700
FILM NUMBER: 131188382
MAIL ADDRESS:
STREET 1: 120 KEARNY STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94108
4
1
doc4.xml
X0306
4
2013-11-01
0000316709
SCHWAB CHARLES CORP
SCHW
0001296424
Dwyer Carrie E
211 MAIN STREET
SAN FRANCISCO
CA
94105
1
EVP and General Counsel
Common Stock
2013-11-01
4
M
0
13823.0000
11.7500
A
103890.0000
I
by Trust
Common Stock
2013-11-01
4
M
0
12500.0000
13.6400
A
116390.0000
I
by Trust
Common Stock
2013-11-01
4
M
0
9514.0000
15.4300
A
125904.0000
I
by Trust
Common Stock
2013-11-01
4
S
0
35837.0000
22.8965
D
90067.0000
I
by Trust
Common Stock
1220.9670
I
by ESOP
Common Stock
8805.0000
I
in Trust for Daughter
Common Stock
8805.0000
I
in Trust for Son
Nonqualified Stock Option (right to buy)
15.4300
2013-11-01
4
M
0
9514.0000
0.0000
D
2011-11-01
2020-11-01
Common Stock
9514.0000
9897.0000
D
Nonqualified Stock Option (right to buy)
11.7500
2013-11-01
4
M
0
13823.0000
0.0000
D
2012-11-01
2021-11-01
Common Stock
13823.0000
27647.0000
D
Nonqualified Stock Option (right to buy)
13.6400
2013-11-01
4
M
0
12500.0000
0.0000
D
2013-11-01
2022-11-01
Common Stock
12500.0000
37500.0000
D
The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 30, 2013.
This transaction was executed in multiple trades at prices ranging from $22.635 to $23.06. 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.
Jane E. Fry, Attorney-in-fact
2013-11-04