0001225208-13-024671.txt : 20131204 0001225208-13-024671.hdr.sgml : 20131204 20131204134019 ACCESSION NUMBER: 0001225208-13-024671 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131202 FILED AS OF DATE: 20131204 DATE AS OF CHANGE: 20131204 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: Allen Jay L CENTRAL INDEX KEY: 0001416062 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 131256653 MAIL ADDRESS: STREET 1: C/O THE CHARLES SCHWAB CORPORATION STREET 2: 120 KEARNY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94108 4 1 doc4.xml X0306 4 2013-12-02 0000316709 SCHWAB CHARLES CORP SCHW 0001416062 Allen Jay L 211 MAIN STREET SAN FRANCISCO CA 94105 1 EVP - Human Resources Common Stock 2013-12-02 4 M 0 81947.0000 19.3600 A 98422.6945 I by Trust Common Stock 2013-12-02 4 M 0 79067.0000 17.3800 A 177489.6945 I by Trust Common Stock 2013-12-02 4 M 0 26049.0000 22.6500 A 203538.6945 I by Trust Common Stock 2013-12-02 4 M 0 21067.0000 18.2500 A 224605.6945 I by Trust Common Stock 2013-12-02 4 M 0 4700.0000 18.6600 A 229305.6945 I by Trust Common Stock 2013-12-02 4 M 0 1100.0000 23.3295 A 230405.6945 I by Trust Common Stock 2013-12-02 4 S 0 6030.0000 24.9090 D 224375.6945 I by Trust Common Stock 2013-12-02 4 S 0 213930.0000 24.9265 D 10445.6945 I by Trust Common Stock 1462.0000 I by ESPP Nonqualified Stock Option (right to buy) 18.2500 2013-12-02 4 M 0 21067.0000 0.0000 D 2011-03-01 2020-03-01 Common Stock 21067.0000 7023.0000 D Nonqualified Stock Option (right to buy) 18.6600 2013-12-02 4 M 0 4700.0000 0.0000 D 2012-03-01 2021-03-01 Common Stock 4700.0000 27003.0000 D Nonqualified Stock Option (right to buy) 23.3295 2013-12-02 4 M 0 1100.0000 0.0000 D 2008-11-01 2014-11-01 Common Stock 1100.0000 25015.0000 D Nonqualified Stock Option (right to buy) 22.6500 2013-12-02 4 M 0 26049.0000 0.0000 D 2008-11-01 2014-11-01 Common Stock 26049.0000 0.0000 D Nonqualified Stock Option (right to buy) 17.3800 2013-12-02 4 M 0 79067.0000 0.0000 D 2010-11-02 2019-11-02 Common Stock 79067.0000 0.0000 D Nonqualified Stock Option (right to buy) 19.3600 2013-12-02 4 M 0 81947.0000 0.0000 D 2009-11-03 2018-11-03 Common Stock 81947.0000 0.0000 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 7, 2013. This transaction was executed in multiple trades at prices ranging from $24.57 to $25.13. 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 2013-12-04