Filing Details
- Accession Number:
- 0001225208-11-012160
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-22 13:51:39
- Reporting Period:
- 2011-04-21
- Filing Date:
- 2011-04-22
- Accepted Time:
- 2011-04-22 13:51:39
- 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 |
|---|---|---|---|---|---|---|---|
| 1296424 | E Carrie Dwyer | 211 Main Street San Francisco CA 94105 | Evp And General Counsel | 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 | 2011-04-21 | 127,965 | $14.32 | 316,974 | No | 4 | M | Indirect | by Trust |
| Common Stock | Acquisiton | 2011-04-21 | 78,667 | $9.26 | 395,641 | No | 4 | M | Indirect | by Trust |
| Common Stock | Acquisiton | 2011-04-21 | 25,593 | $9.72 | 421,234 | No | 4 | M | Indirect | by Trust |
| Common Stock | Acquisiton | 2011-04-21 | 19,666 | $12.50 | 440,900 | No | 4 | M | Indirect | by Trust |
| Common Stock | Acquisiton | 2011-04-21 | 6,555 | $12.50 | 447,455 | No | 4 | M | Indirect | by Trust |
| Common Stock | Disposition | 2011-04-21 | 205,831 | $18.74 | 241,624 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2011-04-21 | 6,555 | $0.00 | 6,555 | $12.50 |
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2011-04-21 | 19,666 | $0.00 | 19,666 | $12.50 |
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2011-04-21 | 127,965 | $0.00 | 127,965 | $14.32 |
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2011-04-21 | 25,593 | $0.00 | 25,593 | $9.72 |
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2011-04-21 | 78,667 | $0.00 | 78,667 | $9.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2006-02-27 | 2012-02-27 | No | 4 | M | Direct |
| 0 | 2003-02-27 | 2012-02-27 | No | 4 | M | Direct |
| 0 | 2002-07-18 | 2011-07-18 | No | 4 | M | Direct |
| 0 | 2002-09-24 | 2011-09-24 | No | 4 | M | Direct |
| 0 | 2004-11-08 | 2012-11-08 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 7,937 | Direct | |
| Common Stock | 1,178 | Indirect | by ESOP |
| Common Stock | 8,805 | Indirect | in Trust for Daughter |
| Common Stock | 8,805 | Indirect | in Trust for Son |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $18.6675 to $18.825. 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
