0001225208-14-007533.txt : 20140305 0001225208-14-007533.hdr.sgml : 20140305 20140305163649 ACCESSION NUMBER: 0001225208-14-007533 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140303 FILED AS OF DATE: 20140305 DATE AS OF CHANGE: 20140305 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: 14669742 MAIL ADDRESS: STREET 1: 120 KEARNY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94108 4 1 doc4.xml X0306 4 2014-03-03 0000316709 SCHWAB CHARLES CORP SCHW 0001296424 Dwyer Carrie E 211 MAIN STREET SAN FRANCISCO CA 94105 1 EVP and General Counsel Common Stock 2014-03-03 4 M 0 10927.0000 25.9650 A 100994.0000 I by Trust Common Stock 2014-03-03 4 M 0 10331.0000 13.9100 A 111325.0000 I by Trust Common Stock 2014-03-03 4 S 0 10331.0000 25.9265 D 100994.0000 I by Trust Common Stock 2014-03-04 4 M 0 10089.0000 16.4000 A 111083.0000 I by Trust Common Stock 2014-03-04 4 M 0 7608.0000 18.2500 A 118691.0000 I by Trust Common Stock 2014-03-04 4 S 0 7608.0000 26.8230 D 111083.0000 I by Trust Common Stock 2014-03-04 4 S 0 10089.0000 26.8106 D 100994.0000 I by Trust Common Stock 1230.2180 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) 13.9100 2014-03-03 4 M 0 10331.0000 0.0000 D 2013-03-01 2022-03-01 Common Stock 10331.0000 20662.0000 D Nonqualified Stock Option (right to buy) 25.8600 2014-03-03 4 A 0 23742.0000 0.0000 A 2015-03-03 2024-03-03 Common Stock 23742.0000 23742.0000 D Nonqualified Stock Option (right to buy) 18.2500 2014-03-04 4 M 0 7608.0000 0.0000 D 2011-03-01 2020-03-01 Common Stock 7608.0000 0.0000 D Nonqualified Stock Option (right to buy) 16.4000 2014-03-04 4 M 0 10089.0000 0.0000 D 2014-03-01 2023-03-01 Common Stock 10089.0000 30267.0000 D Shares acquired on the vesting of restricted stock units. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 19, 2014. This transaction was executed in multiple trades at prices ranging from $25.78 to $26.12. 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 $26.82 to $26.86. 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 $26.79 to $26.85. 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. The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. Jane E. Fry, Attorney-in-fact 2014-03-05