Filing Details
- Accession Number:
- 0001225208-13-023885
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-19 16:17:53
- Reporting Period:
- 2013-11-18
- Filing Date:
- 2013-11-19
- Accepted Time:
- 2013-11-19 16:17:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 316709 | Schwab Charles Corp | SCHW | Security Brokers, Dealers & Flotation Companies (6211) | 943025021 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1564429 | J. Bernard Clark | 211 Main Street San Francisco CA 94105 | Evp - Advisor Services | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-11-18 | 23,499 | $11.75 | 104,324 | No | 4 | M | Indirect | by Trust |
| Common Stock | Acquisiton | 2013-11-18 | 12,500 | $12.66 | 116,824 | No | 4 | M | Indirect | by Trust |
| Common Stock | Acquisiton | 2013-11-18 | 11,096 | $12.45 | 127,920 | No | 4 | M | Indirect | by Trust |
| Common Stock | Disposition | 2013-11-18 | 6,126 | $24.51 | 121,794 | No | 4 | S | Indirect | by Trust |
| Common Stock | Disposition | 2013-11-18 | 47,095 | $24.51 | 74,699 | No | 4 | S | Indirect | by Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | by Trust |
| No | 4 | M | Indirect | by Trust |
| No | 4 | M | Indirect | by Trust |
| No | 4 | S | Indirect | by Trust |
| No | 4 | S | Indirect | by Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2013-11-18 | 12,500 | $0.00 | 12,500 | $12.66 |
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2013-11-18 | 11,096 | $0.00 | 11,096 | $12.45 |
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2013-11-18 | 23,499 | $0.00 | 23,499 | $11.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-02-17 | 2019-02-17 | No | 4 | M | Direct |
| 33,291 | 2013-08-01 | 2022-08-01 | No | 4 | M | Direct |
| 23,500 | 2012-11-01 | 2021-11-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5,647 | Direct | |
| Common Stock | 3,327 | Indirect | by 401(k) |
| Common Stock | 596 | Indirect | by ESOP |
Footnotes
- The transactions were executed in multiple trades at prices ranging from $24.495 to $24.54. 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.
Billionaire Hedge Funds
