SCHWAB CHARLES CORP 4
4 · SCHWAB CHARLES CORP · Filed Nov 5, 2014
Insider Transaction Report
Form 4
Allen Jay L
EVP - Human Resources
Transactions
- Exercise/Conversion
Nonqualified Stock Option (right to buy)
2014-11-03−8,286→ 0 totalExercise: $15.43From: 2011-11-01Exp: 2020-11-01→ Common Stock (8,286 underlying) - Exercise/Conversion
Nonqualified Stock Option (right to buy)
2014-11-03−10,000→ 20,000 totalExercise: $13.64From: 2013-11-01Exp: 2022-11-01→ Common Stock (10,000 underlying) - Exercise/Conversion
Common Stock
2014-11-03$13.64/sh+10,000$136,400→ 26,020.565 total(indirect: By Trust) - Exercise/Conversion
Common Stock
2014-11-03$28.59/sh+4,009$114,617→ 38,315.565 total(indirect: By Trust) - Sale
Common Stock
2014-11-03$28.58/sh−10,367$296,308→ 9,662.565 total(indirect: By Trust) - Exercise/Conversion
Nonqualified Stock Option (right to buy)
2014-11-03−10,367→ 10,368 totalExercise: $11.75From: 2012-11-01Exp: 2021-11-01→ Common Stock (10,367 underlying) - Award
Nonqualified Stock Option (right to buy)
2014-11-03+20,782→ 20,782 totalExercise: $28.44From: 2015-11-03Exp: 2024-11-03→ Common Stock (20,782 underlying) - Exercise/Conversion
Common Stock
2014-11-03$11.75/sh+10,367$121,812→ 16,020.565 total(indirect: By Trust) - Exercise/Conversion
Common Stock
2014-11-03$15.43/sh+8,286$127,853→ 34,306.565 total(indirect: By Trust) - Sale
Common Stock
2014-11-03$28.64/sh−8,286$237,312→ 30,029.565 total(indirect: By Trust) - Sale
Common Stock
2014-11-03$28.58/sh−10,000$285,803→ 20,029.565 total(indirect: By Trust)
Holdings
- 1,712(indirect: by ESPP)
Common Stock
Footnotes (6)
- [F1]Shares acquired on the vesting of restricted stock units.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]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.