0001225208-14-022806.txt : 20141105 0001225208-14-022806.hdr.sgml : 20141105 20141105160559 ACCESSION NUMBER: 0001225208-14-022806 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: Allen Jay L CENTRAL INDEX KEY: 0001416062 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 141196964 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 2014-11-03 0000316709 SCHWAB CHARLES CORP SCHW 0001416062 Allen Jay L 211 MAIN STREET SAN FRANCISCO CA 94105 1 EVP and Chief Admin Officer Common Stock 2014-11-03 4 M 0 10367.0000 11.7500 A 16020.5645 I by Trust Common Stock 2014-11-03 4 M 0 10000.0000 13.6400 A 26020.5645 I by Trust Common Stock 2014-11-03 4 M 0 8286.0000 15.4300 A 34306.5645 I by Trust Common Stock 2014-11-03 4 M 0 4009.0000 28.5900 A 38315.5645 I by Trust Common Stock 2014-11-03 4 S 0 8286.0000 28.6401 D 30029.5645 I by Trust Common Stock 2014-11-03 4 S 0 10000.0000 28.5803 D 20029.5645 I by Trust Common Stock 2014-11-03 4 S 0 10367.0000 28.5818 D 9662.5645 I by Trust Common Stock 1712.0000 I by ESPP Nonqualified Stock Option (right to buy) 15.4300 2014-11-03 4 M 0 8286.0000 0.0000 D 2011-11-01 2020-11-01 Common Stock 8286.0000 0.0000 D Nonqualified Stock Option (right to buy) 11.7500 2014-11-03 4 M 0 10367.0000 0.0000 D 2012-11-01 2021-11-01 Common Stock 10367.0000 10368.0000 D Nonqualified Stock Option (right to buy) 13.6400 2014-11-03 4 M 0 10000.0000 0.0000 D 2013-11-01 2022-11-01 Common Stock 10000.0000 20000.0000 D Nonqualified Stock Option (right to buy) 28.4400 2014-11-03 4 A 0 20782.0000 0.0000 A 2015-11-03 2024-11-03 Common Stock 20782.0000 20782.0000 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 November 7, 2013. This transaction was executed in multiple trades at prices ranging from $28.54 to $28.77. 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 $28.353 to $28.77. 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 $28.353 to $28.79. 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