0001225208-14-022805.txt : 20141105 0001225208-14-022805.hdr.sgml : 20141105 20141105160557 ACCESSION NUMBER: 0001225208-14-022805 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141103 FILED AS OF DATE: 20141105 DATE AS OF CHANGE: 20141105 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: SCHWAB CHARLES R CENTRAL INDEX KEY: 0000923738 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 141196963 MAIL ADDRESS: STREET 1: 101 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104 4 1 doc4.xml X0306 4 2014-11-03 0000316709 SCHWAB CHARLES CORP SCHW 0000923738 SCHWAB CHARLES R 211 MAIN STREET SAN FRANCISCO CA 94105 1 1 1 Chairman Common Stock 2014-11-03 4 M 0 16032.0000 28.5900 A 675480.0000 D Common Stock 2014-11-03 4 S 0 250000.0000 28.4234 D 36887941.0000 I by Limited Partnership Common Stock 2014-11-04 4 S 0 250000.0000 28.4934 D 36637941.0000 I by Limited Partnership Common Stock 44025.0000 I by 188 Corp Common Stock 5316215.3300 I By Spouse Common Stock 113583962.0000 I by Trust Nonqualified Stock Option (right to buy) 28.4400 2014-11-03 4 A 0 62345.0000 0.0000 A 2015-11-03 2024-11-10 Common Stock 62345.0000 62345.0000 D Shares acquired on the vesting of restricted stock units. This transaction was executed in multiple trades at prices ranging from $28.345 to $28.635. 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 $28.23 to $28.62. 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 2014-11-05