Filing Details
- Accession Number:
- 0001225208-14-007534
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-05 16:36:50
- Reporting Period:
- 2014-03-03
- Filing Date:
- 2014-03-05
- Accepted Time:
- 2014-03-05 16:36:50
- 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 |
---|---|---|---|---|---|---|---|
1416062 | L Jay Allen | 211 Main Street San Francisco CA 94105 | Evp - Human Resources | 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 | 2014-03-03 | 11,373 | $25.97 | 19,051 | No | 4 | M | Indirect | by Trust |
Common Stock | Acquisiton | 2014-03-03 | 10,089 | $16.40 | 29,140 | No | 4 | M | Indirect | by Trust |
Common Stock | Acquisiton | 2014-03-03 | 8,265 | $13.91 | 37,405 | No | 4 | M | Indirect | by Trust |
Common Stock | Acquisiton | 2014-03-03 | 7,926 | $18.66 | 45,331 | No | 4 | M | Indirect | by Trust |
Common Stock | Acquisiton | 2014-03-03 | 7,023 | $18.25 | 52,354 | No | 4 | M | Indirect | by Trust |
Common Stock | Disposition | 2014-03-03 | 7,023 | $25.93 | 45,331 | No | 4 | S | Indirect | by Trust |
Common Stock | Disposition | 2014-03-03 | 7,926 | $25.93 | 37,405 | No | 4 | S | Indirect | by Trust |
Common Stock | Disposition | 2014-03-03 | 8,265 | $25.93 | 29,140 | No | 4 | S | Indirect | by Trust |
Common Stock | Disposition | 2014-03-03 | 10,089 | $25.93 | 19,051 | 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 | M | Indirect | by Trust |
No | 4 | M | Indirect | by Trust |
No | 4 | S | Indirect | by Trust |
No | 4 | S | 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 | 2014-03-03 | 7,023 | $0.00 | 7,023 | $18.25 |
Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2014-03-03 | 7,926 | $0.00 | 7,926 | $18.66 |
Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2014-03-03 | 8,265 | $0.00 | 8,265 | $13.91 |
Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2014-03-03 | 10,089 | $0.00 | 10,089 | $16.40 |
Common Stock | Nonqualified Stock Option (right to buy) | Acquisiton | 2014-03-03 | 23,742 | $0.00 | 23,742 | $25.86 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2011-03-01 | 2020-03-01 | No | 4 | M | Direct |
7,926 | 2012-03-01 | 2021-03-01 | No | 4 | M | Direct |
16,529 | 2013-03-01 | 2022-03-01 | No | 4 | M | Direct |
30,267 | 2014-03-01 | 2023-03-01 | No | 4 | M | Direct |
23,742 | 2015-03-03 | 2024-03-03 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,493 | Indirect | by ESPP |
Footnotes
- 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 $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 $25.81 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 $25.79 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.
- 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.