0001225208-13-025179.txt : 20131211 0001225208-13-025179.hdr.sgml : 20131211 20131211140945 ACCESSION NUMBER: 0001225208-13-025179 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131209 FILED AS OF DATE: 20131211 DATE AS OF CHANGE: 20131211 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: 131270532 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 2013-12-09 0000316709 SCHWAB CHARLES CORP SCHW 0001416062 Allen Jay L 211 MAIN STREET SAN FRANCISCO CA 94105 1 EVP - Human Resources Common Stock 2013-12-09 4 M 0 17202.0000 23.3295 A 27647.6945 I by Trust Common Stock 2013-12-09 4 M 0 10651.0000 18.6600 A 38298.6945 I by Trust Common Stock 2013-12-09 4 S 0 2979.0000 25.0296 D 35319.6945 I by Trust Common Stock 2013-12-09 4 S 0 27853.0000 25.0642 D 7466.6945 I by Trust Common Stock 1462.0000 I by ESPP Nonqualified Stock Option (right to buy) 18.6600 2013-12-09 4 M 0 10651.0000 0.0000 D 2012-03-01 2021-03-01 Common Stock 10651.0000 15852.0000 D Nonqualified Stock Option (right to buy) 23.3295 2013-12-09 4 M 0 17202.0000 0.0000 D 2008-11-01 2014-11-01 Common Stock 17202.0000 7813.0000 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 $25.00 to $25.06. 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. This transaction was executed in multiple trades at prices ranging from $24.97 to $25.115. 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 2013-12-11