Amendment No. 11 to Schedule 13D

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

(Rule 13d-101)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE

13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a)

(Amendment No. 11)*

 

 

 

The Charles Schwab Corporation


(Name of Issuer)

 

Common Stock, par value $0.01 per share


(Title of Class of Securities)

 

808513-10-5


(CUSIP Number)

 

Lawrence B. Rabkin, Esq.

Howard Rice Nemerovski Canady Falk & Rabkin

Three Embarcadero Center

San Francisco, California 94111

(415) 434-1600


(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

 

February 28, 2006


(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(c), 13d-1(f) or 13d-1(g), check the following box  ¨.

Note:  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.

 

*   The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 2 of 14

 

  1  

Name of Reporting Person IRS Identification No. of Above Person

 

            Charles R. Schwab

   
  2  

Check the Appropriate Box if a member of a Group

(a)  ¨

(b)  ¨

   
  3  

SEC USE ONLY

 

   
  4  

Source of Funds

 

   
  5  

Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e)

 

  ¨
  6  

Citizenship or Place of Organization

 

            United States of America

   

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

  7    Sole Voting Power

 

                18,207,495

 

  8    Shared Voting Power

 

                223,537,965

 

  9    Sole Dispositive Power

 

                18,207,495

 

10    Shared Dispositive Power

 

                223,537,965

11  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

            241,745,460

   
12  

Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares

 

 

¨

 

13  

Percent of Class Represented by Amount in Row 11

 

            18.7%

   
14  

Type of Reporting Person

 

            IN

   

 


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 3 of 14

 

Item 1.      Security and Issuer.
  This Amendment No. 11 to Schedule 13D (this “Amendment’) relates to the common stock, par value $0.01 per share (“Common Stock”), of The Charles Schwab Corporation (the “Issuer”).
  The address of the principal executive office the Issuer is:
  The Charles Schwab Corporation
  120 Kearny Street
  San Francisco, California 94108
Item 2.      Identity and Background.
(a)   Mr. Charles R. Schwab
(b)   The Charles Schwab Corporation
  120 Kearny Street
  San Francisco, California 94108
(c)   Chairman, Chief Executive Officer and Director
  The Charles Schwab Corporation
  120 Kearny Street
  San Francisco, California 94108
(d)   Inapplicable
(e)   Inapplicable
(f)   United States of America
Item 3.      Source and Amount of Funds or Other Consideration.
  Inapplicable
Item 4.      Purpose of Transaction.
  The shares of Common Stock are held for personal investment, except as noted in Item 5 below.
Item 5.      Interest in Securities of the Issuer.
(a)   241,745,460 shares of Common Stock (including 5,850,000 shares which may be acquired within sixty days upon exercise of options) representing 18.7% of the Common Stock outstanding.
(b)   The 241,745,460 shares of Common Stock referred to in Item 5(a) above consist of: (i) 18,207,495 shares of Common Stock as to which Mr. Schwab has sole voting and dispositive power; and (ii) 223,537,965 shares of Common Stock as to which Mr. Schwab has shared voting power and shared dispositive power (including 146,882,048 shares held by Mr. and Mrs. Schwab as trustees of the Charles & Helen Trust; 11,190,811 shares held by Mr. and Mrs. Schwab as trustees of the Charles & Helen Schwab Living Trust; 42,853,958 shares held by HOS Family Partners, LLC, a limited liability company organized and existing under the


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 4 of 14

 

  laws of the State of Delaware as to which Mr. and Mrs. Schwab are two of three members with shared voting and dispositive power; 7,977,765 shares held by Mrs. Schwab; 1,716,198 shares held by the trustee of the Charles Schwab Profit Sharing and Employee Stock Ownership Plan and allocated to Mr. Schwab’s individual ESOP account; 12,911,185 shares held by the Charles & Helen Schwab Foundation, a nonprofit public benefit corporation as to which Mr. and Mrs. Schwab, as two of four directors, have shared voting and dispositive power but disclaim beneficial ownership; and 6,000 shares held in the Kevin P. O’Neill Children’s Trust for which Mr. Schwab acts as trustee).
(c)   The following transactions in Common Stock were effected by Mr. Schwab in the sixty days prior to the filing of this Amendment:

 

Date of Transaction

  

Amount of

Securities Involved

   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 2, 2006

   25,300    Sale    $ 14.33    Open Market

February 2, 2006

   12,900    Sale    $ 14.34    Open Market

February 2, 2006

   16,724    Sale    $ 14.35    Open Market

February 2, 2006

   9,176    Sale    $ 14.36    Open Market

February 2, 2006

   14,100    Sale    $ 14.37    Open Market

February 2, 2006

   13,300    Sale    $ 14.38    Open Market

February 2, 2006

   53,227    Sale    $ 14.39    Open Market

February 2, 2006

   32,895    Sale    $ 14.40    Open Market

February 2, 2006

   13,250    Sale    $ 14.41    Open Market

February 2, 2006

   13,261    Sale    $ 14.42    Open Market

February 2, 2006

   7,571    Sale    $ 14.43    Open Market

February 2, 2006

   35,600    Sale    $ 14.44    Open Market

February 2, 2006

   31,800    Sale    $ 14.45    Open Market

February 2, 2006

   19,250    Sale    $ 14.46    Open Market

February 2, 2006

   4,164    Sale    $ 14.47    Open Market

February 2, 2006

   24,991    Sale    $ 14.48    Open Market

February 2, 2006

   28,300    Sale    $ 14.49    Open Market

February 2, 2006

   16,100    Sale    $ 14.50    Open Market

February 2, 2006

   1,900    Sale    $ 14.51    Open Market

February 2, 2006

   28,100    Sale    $ 14.52    Open Market

February 2, 2006

   5,028    Sale    $ 14.53    Open Market

February 2, 2006

   7,400    Sale    $ 14.54    Open Market

February 2, 2006

   17,800    Sale    $ 14.55    Open Market

February 2, 2006

   3,600    Sale    $ 14.56    Open Market

February 2, 2006

   9,200    Sale    $ 14.57    Open Market

February 2, 2006

   3,716    Sale    $ 14.58    Open Market

February 2, 2006

   17,447    Sale    $ 14.59    Open Market

February 2, 2006

   5,200    Sale    $ 14.60    Open Market

February 2, 2006

   17,700    Sale    $ 14.61    Open Market

February 2, 2006

   4,700    Sale    $ 14.62    Open Market

February 2, 2006

   6,300    Sale    $ 14.64    Open Market

February 3, 2006

   13,418    Sale    $ 14.27    Open Market

February 3, 2006

   2,500    Sale    $ 14.28    Open Market

February 3, 2006

   11,273    Sale    $ 14.29    Open Market

February 3, 2006

   9,940    Sale    $ 14.30    Open Market


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 5 of 14

 

Date of Transaction

   Amount of
Securities Involved
   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 3, 2006

   23,916    Sale    $ 14.31    Open Market

February 3, 2006

   32,800    Sale    $ 14.32    Open Market

February 3, 2006

   44,691    Sale    $ 14.33    Open Market

February 3, 2006

   42,402    Sale    $ 14.34    Open Market

February 3, 2006

   21,050    Sale    $ 14.35    Open Market

February 3, 2006

   6,073    Sale    $ 14.36    Open Market

February 3, 2006

   13,627    Sale    $ 14.37    Open Market

February 3, 2006

   5,373    Sale    $ 14.38    Open Market

February 3, 2006

   9,100    Sale    $ 14.39    Open Market

February 3, 2006

   17,066    Sale    $ 14.40    Open Market

February 3, 2006

   11,803    Sale    $ 14.41    Open Market

February 3, 2006

   17,327    Sale    $ 14.42    Open Market

February 3, 2006

   4,300    Sale    $ 14.43    Open Market

February 3, 2006

   400    Sale    $ 14.44    Open Market

February 3, 2006

   3,900    Sale    $ 14.46    Open Market

February 3, 2006

   3,535    Sale    $ 14.47    Open Market

February 3, 2006

   4,814    Sale    $ 14.49    Open Market

February 3, 2006

   10,700    Sale    $ 14.53    Open Market

February 3, 2006

   15,587    Sale    $ 14.54    Open Market

February 3, 2006

   21,470    Sale    $ 14.55    Open Market

February 3, 2006

   21,149    Sale    $ 14.56    Open Market

February 3, 2006

   1,000    Sale    $ 14.57    Open Market

February 3, 2006

   4,600    Sale    $ 14.58    Open Market

February 3, 2006

   13,950    Sale    $ 14.59    Open Market

February 3, 2006

   33,431    Sale    $ 14.60    Open Market

February 3, 2006

   25,209    Sale    $ 14.61    Open Market

February 3, 2006

   6,843    Sale    $ 14.62    Open Market

February 3, 2006

   32,113    Sale    $ 14.63    Open Market

February 3, 2006

   8,800    Sale    $ 14.64    Open Market

February 3, 2006

   5,740    Sale    $ 14.65    Open Market

February 3, 2006

   100    Sale    $ 14.66    Open Market

February 6, 2006

   1,800    Sale    $ 14.44    Open Market

February 6, 2006

   9,600    Sale    $ 14.45    Open Market

February 6, 2006

   7,900    Sale    $ 14.46    Open Market

February 6, 2006

   4,405    Sale    $ 14.47    Open Market

February 6, 2006

   26,449    Sale    $ 14.48    Open Market

February 6, 2006

   13,000    Sale    $ 14.49    Open Market

February 6, 2006

   16,200    Sale    $ 14.50    Open Market

February 6, 2006

   22,300    Sale    $ 14.51    Open Market

February 6, 2006

   28,004    Sale    $ 14.52    Open Market

February 6, 2006

   14,697    Sale    $ 14.53    Open Market

February 6, 2006

   29,990    Sale    $ 14.54    Open Market

February 6, 2006

   20,100    Sale    $ 14.55    Open Market

February 6, 2006

   31,579    Sale    $ 14.56    Open Market

February 6, 2006

   21,677    Sale    $ 14.57    Open Market

February 6, 2006

   33,090    Sale    $ 14.58    Open Market

February 6, 2006

   63,650    Sale    $ 14.59    Open Market


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 6 of 14

 

Date of Transaction

   Amount of
Securities Involved
   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 6, 2006

   24,328    Sale    $ 14.60    Open Market

February 6, 2006

   34,011    Sale    $ 14.61    Open Market

February 6, 2006

   16,598    Sale    $ 14.62    Open Market

February 6, 2006

   26,400    Sale    $ 14.63    Open Market

February 6, 2006

   20,400    Sale    $ 14.64    Open Market

February 6, 2006

   14,835    Sale    $ 14.65    Open Market

February 6, 2006

   5,300    Sale    $ 14.66    Open Market

February 6, 2006

   8,700    Sale    $ 14.67    Open Market

February 6, 2006

   4,987    Sale    $ 14.68    Open Market

February 7, 2006

   3,700    Sale    $ 14.44    Open Market

February 7, 2006

   10,200    Sale    $ 14.45    Open Market

February 7, 2006

   15,200    Sale    $ 14.46    Open Market

February 7, 2006

   6,300    Sale    $ 14.47    Open Market

February 7, 2006

   3,269    Sale    $ 14.48    Open Market

February 7, 2006

   10,700    Sale    $ 14.49    Open Market

February 7, 2006

   90,444    Sale    $ 14.50    Open Market

February 7, 2006

   38,956    Sale    $ 14.51    Open Market

February 7, 2006

   11,631    Sale    $ 14.52    Open Market

February 7, 2006

   9,500    Sale    $ 14.53    Open Market

February 7, 2006

   5,800    Sale    $ 14.54    Open Market

February 7, 2006

   14,780    Sale    $ 14.55    Open Market

February 7, 2006

   19,800    Sale    $ 14.56    Open Market

February 7, 2006

   10,307    Sale    $ 14.57    Open Market

February 7, 2006

   4,700    Sale    $ 14.58    Open Market

February 7, 2006

   7,851    Sale    $ 14.59    Open Market

February 7, 2006

   16,600    Sale    $ 14.60    Open Market

February 7, 2006

   15,900    Sale    $ 14.61    Open Market

February 7, 2006

   5,900    Sale    $ 14.63    Open Market

February 7, 2006

   11,300    Sale    $ 14.64    Open Market

February 7, 2006

   33,768    Sale    $ 14.65    Open Market

February 7, 2006

   32,935    Sale    $ 14.66    Open Market

February 7, 2006

   45,481    Sale    $ 14.67    Open Market

February 7, 2006

   60,520    Sale    $ 14.68    Open Market

February 7, 2006

   11,158    Sale    $ 14.69    Open Market

February 7, 2006

   3,200    Sale    $ 14.70    Open Market

February 7, 2006

   100    Sale    $ 14.71    Open Market

February 8, 2006

   30,000    Sale    $ 14.46    Open Market

February 8, 2006

   176,559    Sale    $ 14.47    Open Market

February 8, 2006

   39,624    Sale    $ 14.48    Open Market

February 8, 2006

   15,942    Sale    $ 14.49    Open Market

February 8, 2006

   34,693    Sale    $ 14.50    Open Market

February 8, 2006

   1,546    Sale    $ 14.51    Open Market

February 8, 2006

   22,000    Sale    $ 14.52    Open Market

February 8, 2006

   20,700    Sale    $ 14.53    Open Market

February 8, 2006

   15,800    Sale    $ 14.54    Open Market

February 8, 2006

   7,500    Sale    $ 14.55    Open Market

February 8, 2006

   12,165    Sale    $ 14.56    Open Market


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 7 of 14

 

Date of Transaction

   Amount of
Securities Involved
   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 8, 2006

   4,400    Sale    $ 14.57    Open Market

February 8, 2006

   15,500    Sale    $ 14.58    Open Market

February 8, 2006

   21,897    Sale    $ 14.59    Open Market

February 8, 2006

   4,600    Sale    $ 14.60    Open Market

February 8, 2006

   1,434    Sale    $ 14.61    Open Market

February 8, 2006

   700    Sale    $ 14.62    Open Market

February 8, 2006

   10,500    Sale    $ 14.63    Open Market

February 8, 2006

   11,718    Sale    $ 14.64    Open Market

February 8, 2006

   14,200    Sale    $ 14.65    Open Market

February 8, 2006

   9,000    Sale    $ 14.66    Open Market

February 8, 2006

   1,300    Sale    $ 14.67    Open Market

February 8, 2006

   1,100    Sale    $ 14.68    Open Market

February 8, 2006

   1,900    Sale    $ 14.69    Open Market

February 8, 2006

   3,679    Sale    $ 14.70    Open Market

February 8, 2006

   1,143    Sale    $ 14.71    Open Market

February 8, 2006

   17,113    Sale    $ 14.72    Open Market

February 8, 2006

   2,987    Sale    $ 14.73    Open Market

February 8, 2006

   100    Sale    $ 14.74    Open Market

February 8, 2006

   100    Sale    $ 14.76    Open Market

February 8, 2006

   100    Sale    $ 14.77    Open Market

February 9, 2006

   3,300    Sale    $ 14.59    Open Market

February 9, 2006

   6,200    Sale    $ 14.60    Open Market

February 9, 2006

   6,707    Sale    $ 14.61    Open Market

February 9, 2006

   4,300    Sale    $ 14.62    Open Market

February 9, 2006

   14,600    Sale    $ 14.63    Open Market

February 9, 2006

   4,904    Sale    $ 14.64    Open Market

February 9, 2006

   6,400    Sale    $ 14.65    Open Market

February 9, 2006

   42,650    Sale    $ 14.66    Open Market

February 9, 2006

   24,489    Sale    $ 14.67    Open Market

February 9, 2006

   23,808    Sale    $ 14.68    Open Market

February 9, 2006

   60,920    Sale    $ 14.69    Open Market

February 9, 2006

   35,889    Sale    $ 14.70    Open Market

February 9, 2006

   90,595    Sale    $ 14.71    Open Market

February 9, 2006

   19,284    Sale    $ 14.72    Open Market

February 9, 2006

   59,997    Sale    $ 14.73    Open Market

February 9, 2006

   21,804    Sale    $ 14.74    Open Market

February 9, 2006

   8,619    Sale    $ 14.75    Open Market

February 9, 2006

   10,233    Sale    $ 14.76    Open Market

February 9, 2006

   10,672    Sale    $ 14.77    Open Market

February 9, 2006

   15,252    Sale    $ 14.78    Open Market

February 9, 2006

   1,700    Sale    $ 14.79    Open Market

February 9, 2006

   3,875    Sale    $ 14.80    Open Market

February 9, 2006

   2,500    Sale    $ 14.81    Open Market

February 9, 2006

   400    Sale    $ 14.82    Open Market

February 9, 2006

   6,100    Sale    $ 14.83    Open Market

February 9, 2006

   10,402    Sale    $ 14.84    Open Market

February 9, 2006

   2,700    Sale    $ 14.85    Open Market


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 8 of 14

 

Date of Transaction

   Amount of
Securities Involved
   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 9, 2006

   600    Sale    $ 14.86    Open Market

February 9, 2006

   400    Sale    $ 14.87    Open Market

February 9, 2006

   200    Sale    $ 14.88    Open Market

February 9, 2006

   400    Sale    $ 14.89    Open Market

February 9, 2006

   100    Sale    $ 14.90    Open Market

February 10, 2006

   2,000    Sale    $ 14.31    Open Market

February 10, 2006

   2,100    Sale    $ 14.33    Open Market

February 10, 2006

   800    Sale    $ 14.34    Open Market

February 10, 2006

   5,125    Sale    $ 14.35    Open Market

February 10, 2006

   700    Sale    $ 14.36    Open Market

February 10, 2006

   700    Sale    $ 14.37    Open Market

February 10, 2006

   3,200    Sale    $ 14.38    Open Market

February 10, 2006

   1,900    Sale    $ 14.39    Open Market

February 10, 2006

   13,600    Sale    $ 14.40    Open Market

February 10, 2006

   6,900    Sale    $ 14.41    Open Market

February 10, 2006

   6,100    Sale    $ 14.42    Open Market

February 10, 2006

   12,300    Sale    $ 14.43    Open Market

February 10, 2006

   19,950    Sale    $ 14.44    Open Market

February 10, 2006

   4,800    Sale    $ 14.45    Open Market

February 10, 2006

   24,400    Sale    $ 14.46    Open Market

February 10, 2006

   79,313    Sale    $ 14.47    Open Market

February 10, 2006

   42,718    Sale    $ 14.48    Open Market

February 10, 2006

   66,939    Sale    $ 14.49    Open Market

February 10, 2006

   26,240    Sale    $ 14.50    Open Market

February 10, 2006

   30,425    Sale    $ 14.51    Open Market

February 10, 2006

   16,952    Sale    $ 14.52    Open Market

February 10, 2006

   10,097    Sale    $ 14.53    Open Market

February 10, 2006

   17,982    Sale    $ 14.54    Open Market

February 10, 2006

   13,964    Sale    $ 14.55    Open Market

February 10, 2006

   9,244    Sale    $ 14.56    Open Market

February 10, 2006

   11,532    Sale    $ 14.57    Open Market

February 10, 2006

   15,504    Sale    $ 14.58    Open Market

February 10, 2006

   3,700    Sale    $ 14.59    Open Market

February 10, 2006

   2,346    Sale    $ 14.60    Open Market

February 10, 2006

   100    Sale    $ 14.61    Open Market

February 10, 2006

   2,800    Sale    $ 14.63    Open Market

February 10, 2006

   4,500    Sale    $ 14.64    Open Market

February 10, 2006

   13,454    Sale    $ 14.65    Open Market

February 10, 2006

   11,900    Sale    $ 14.66    Open Market

February 10, 2006

   6,600    Sale    $ 14.67    Open Market

February 10, 2006

   1,400    Sale    $ 14.68    Open Market

February 10, 2006

   2,515    Sale    $ 14.69    Open Market

February 10, 2006

   4,200    Sale    $ 14.70    Open Market

February 10, 2006

   800    Sale    $ 14.73    Open Market

February 10, 2006

   200    Sale    $ 14.74    Open Market

February 13, 2006

   5,000    Sale    $ 14.36    Open Market

February 13, 2006

   15,100    Sale    $ 14.37    Open Market


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 9 of 14

 

Date of Transaction

   Amount of
Securities Involved
   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 13, 2006

   49,604    Sale    $ 14.38    Open Market

February 13, 2006

   27,077    Sale    $ 14.39    Open Market

February 13, 2006

   39,308    Sale    $ 14.40    Open Market

February 13, 2006

   12,028    Sale    $ 14.41    Open Market

February 13, 2006

   14,036    Sale    $ 14.42    Open Market

February 13, 2006

   27,900    Sale    $ 14.43    Open Market

February 13, 2006

   28,200    Sale    $ 14.44    Open Market

February 13, 2006

   20,900    Sale    $ 14.45    Open Market

February 13, 2006

   65,041    Sale    $ 14.46    Open Market

February 13, 2006

   90,007    Sale    $ 14.47    Open Market

February 13, 2006

   76,647    Sale    $ 14.48    Open Market

February 13, 2006

   6,500    Sale    $ 14.49    Open Market

February 13, 2006

   17,600    Sale    $ 14.50    Open Market

February 13, 2006

   3,650    Sale    $ 14.51    Open Market

February 13, 2006

   1,402    Sale    $ 14.52    Open Market

February 14, 2006

   6,000    Sale    $ 14.54    Open Market

February 14, 2006

   4,900    Sale    $ 14.55    Open Market

February 14, 2006

   100    Sale    $ 14.56    Open Market

February 14, 2006

   500    Sale    $ 14.57    Open Market

February 14, 2006

   9,900    Sale    $ 14.58    Open Market

February 14, 2006

   5,300    Sale    $ 14.59    Open Market

February 14, 2006

   4,900    Sale    $ 14.60    Open Market

February 14, 2006

   6,800    Sale    $ 14.61    Open Market

February 14, 2006

   800    Sale    $ 14.62    Open Market

February 14, 2006

   2,000    Sale    $ 14.63    Open Market

February 14, 2006

   600    Sale    $ 14.64    Open Market

February 14, 2006

   800    Sale    $ 14.65    Open Market

February 14, 2006

   300    Sale    $ 14.66    Open Market

February 14, 2006

   600    Sale    $ 14.67    Open Market

February 14, 2006

   900    Sale    $ 14.69    Open Market

February 14, 2006

   100    Sale    $ 14.70    Open Market

February 14, 2006

   950    Sale    $ 14.71    Open Market

February 14, 2006

   2,751    Sale    $ 14.72    Open Market

February 14, 2006

   1,200    Sale    $ 14.73    Open Market

February 14, 2006

   3,375    Sale    $ 14.74    Open Market

February 14, 2006

   7,200    Sale    $ 14.75    Open Market

February 14, 2006

   22,800    Sale    $ 14.76    Open Market

February 14, 2006

   32,452    Sale    $ 14.77    Open Market

February 14, 2006

   4,210    Sale    $ 14.78    Open Market

February 14, 2006

   5,365    Sale    $ 14.79    Open Market

February 14, 2006

   4,700    Sale    $ 14.80    Open Market

February 14, 2006

   7,500    Sale    $ 14.81    Open Market

February 14, 2006

   1,300    Sale    $ 14.82    Open Market

February 14, 2006

   16,200    Sale    $ 14.83    Open Market

February 14, 2006

   19,429    Sale    $ 14.84    Open Market

February 14, 2006

   5,428    Sale    $ 14.85    Open Market

February 14, 2006

   19,308    Sale    $ 14.86    Open Market


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 10 of 14

 

Date of Transaction

   Amount of
Securities Involved
   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 14, 2006

   7,300    Sale    $ 14.87    Open Market

February 14, 2006

   5,900    Sale    $ 14.88    Open Market

February 14, 2006

   38,700    Sale    $ 14.89    Open Market

February 14, 2006

   6,200    Sale    $ 14.90    Open Market

February 14, 2006

   18,700    Sale    $ 14.91    Open Market

February 14, 2006

   5,701    Sale    $ 14.92    Open Market

February 14, 2006

   20,800    Sale    $ 14.93    Open Market

February 14, 2006

   11,311    Sale    $ 14.94    Open Market

February 14, 2006

   1,943    Sale    $ 14.95    Open Market

February 14, 2006

   8,700    Sale    $ 14.96    Open Market

February 14, 2006

   8,500    Sale    $ 14.97    Open Market

February 14, 2006

   8,675    Sale    $ 14.98    Open Market

February 14, 2006

   66,546    Sale    $ 14.99    Open Market

February 14, 2006

   10,800    Sale    $ 15.00    Open Market

February 14, 2006

   5,300    Sale    $ 15.01    Open Market

February 14, 2006

   7,314    Sale    $ 15.02    Open Market

February 14, 2006

   400    Sale    $ 15.03    Open Market

February 14, 2006

   3,100    Sale    $ 15.04    Open Market

February 14, 2006

   1,000    Sale    $ 15.06    Open Market

February 14, 2006

   4,900    Sale    $ 15.07    Open Market

February 14, 2006

   1,700    Sale    $ 15.08    Open Market

February 14, 2006

   11,600    Sale    $ 15.09    Open Market

February 14, 2006

   100    Sale    $ 15.10    Open Market

February 14, 2006

   1,300    Sale    $ 15.11    Open Market

February 14, 2006

   200    Sale    $ 15.12    Open Market

February 14, 2006

   7,700    Sale    $ 15.15    Open Market

February 14, 2006

   700    Sale    $ 15.16    Open Market

February 14, 2006

   700    Sale    $ 15.17    Open Market

February 14, 2006

   1,300    Sale    $ 15.18    Open Market

February 14, 2006

   9,000    Sale    $ 15.19    Open Market

February 14, 2006

   5,600    Sale    $ 15.20    Open Market

February 14, 2006

   3,600    Sale    $ 15.21    Open Market

February 14, 2006

   3,500    Sale    $ 15.22    Open Market

February 14, 2006

   2,600    Sale    $ 15.23    Open Market

February 14, 2006

   4,842    Sale    $ 15.24    Open Market

February 14, 2006

   4,300    Sale    $ 15.25    Open Market

February 14, 2006

   600    Sale    $ 15.26    Open Market

February 14, 2006

   200    Sale    $ 15.27    Open Market

February 22, 2006

   422,332    Disposition      N/A    Gift

February 27, 2006

   47,900    Sale    $ 16.44    Open Market

February 27, 2006

   3,656    Sale    $ 16.47    Open Market

February 27, 2006

   26,300    Sale    $ 16.48    Open Market

February 27, 2006

   23,634    Sale    $ 16.49    Open Market

February 27, 2006

   12,862    Sale    $ 16.50    Open Market

February 27, 2006

   17,998    Sale    $ 16.51    Open Market

February 27, 2006

   15,520    Sale    $ 16.52    Open Market

February 27, 2006

   6,922    Sale    $ 16.53    Open Market


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 11 of 14

 

Date of Transaction

   Amount of
Securities Involved
   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 27, 2006

   34,210    Sale    $ 16.54    Open Market

February 27, 2006

   36,340    Sale    $ 16.55    Open Market

February 27, 2006

   44,691    Sale    $ 16.56    Open Market

February 27, 2006

   47,481    Sale    $ 16.57    Open Market

February 27, 2006

   50,994    Sale    $ 16.58    Open Market

February 27, 2006

   102,065    Sale    $ 16.59    Open Market

February 27, 2006

   124,337    Sale    $ 16.60    Open Market

February 27, 2006

   118,765    Sale    $ 16.61    Open Market

February 27, 2006

   91,893    Sale    $ 16.62    Open Market

February 27, 2006

   33,882    Sale    $ 16.63    Open Market

February 27, 2006

   65,593    Sale    $ 16.64    Open Market

February 27, 2006

   27,112    Sale    $ 16.65    Open Market

February 27, 2006

   22,686    Sale    $ 16.66    Open Market

February 27, 2006

   15,025    Sale    $ 16.67    Open Market

February 27, 2006

   15,143    Sale    $ 16.68    Open Market

February 27, 2006

   14,991    Sale    $ 16.69    Open Market

February 28, 2006

   23,996    Sale    $ 16.16    Open Market

February 28, 2006

   10,250    Sale    $ 16.17    Open Market

February 28, 2006

   2,300    Sale    $ 16.18    Open Market

February 28, 2006

   10,600    Sale    $ 16.19    Open Market

February 28, 2006

   983    Sale    $ 16.20    Open Market

February 28, 2006

   900    Sale    $ 16.21    Open Market

February 28, 2006

   14,200    Sale    $ 16.22    Open Market

February 28, 2006

   1,274    Sale    $ 16.23    Open Market

February 28, 2006

   2,200    Sale    $ 16.24    Open Market

February 28, 2006

   8,900    Sale    $ 16.25    Open Market

February 28, 2006

   20,284    Sale    $ 16.26    Open Market

February 28, 2006

   10,100    Sale    $ 16.27    Open Market

February 28, 2006

   41,418    Sale    $ 16.28    Open Market

February 28, 2006

   267,621    Sale    $ 16.29    Open Market

February 28, 2006

   8,200    Sale    $ 16.30    Open Market

February 28, 2006

   19,900    Sale    $ 16.31    Open Market

February 28, 2006

   8,200    Sale    $ 16.32    Open Market

February 28, 2006

   3,000    Sale    $ 16.33    Open Market

February 28, 2006

   35,146    Sale    $ 16.34    Open Market

February 28, 2006

   2,600    Sale    $ 16.35    Open Market

February 28, 2006

   3,158    Sale    $ 16.36    Open Market

February 28, 2006

   3,100    Sale    $ 16.37    Open Market

February 28, 2006

   23,906    Sale    $ 16.38    Open Market

February 28, 2006

   12,236    Sale    $ 16.39    Open Market

February 28, 2006

   24,400    Sale    $ 16.40    Open Market

February 28, 2006

   200    Sale    $ 16.41    Open Market

February 28, 2006

   4,100    Sale    $ 16.42    Open Market

February 28, 2006

   14,742    Sale    $ 16.43    Open Market

February 28, 2006

   31,957    Sale    $ 16.44    Open Market

February 28, 2006

   8,300    Sale    $ 16.45    Open Market

February 28, 2006

   32,102    Sale    $ 16.46    Open Market


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 12 of 14

 

Date of Transaction

   Amount of
Securities Involved
   Nature of
Transaction
  

Price

Per Share

  

Where and How

Effected

February 28, 2006

   5,542    Sale    $ 16.47    Open Market

February 28, 2006

   36,812    Sale    $ 16.48    Open Market

February 28, 2006

   14,875    Sale    $ 16.49    Open Market

February 28, 2006

   2,825    Sale    $ 16.50    Open Market

February 28, 2006

   400    Sale    $ 16.51    Open Market

February 28, 2006

   8,400    Sale    $ 16.52    Open Market

February 28, 2006

   2,600    Sale    $ 16.53    Open Market

February 28, 2006

   16,208    Sale    $ 16.54    Open Market

February 28, 2006

   10,264    Sale    $ 16.55    Open Market

February 28, 2006

   3,400    Sale    $ 16.56    Open Market

February 28, 2006

   3,100    Sale    $ 16.58    Open Market

February 28, 2006

   6,400    Sale    $ 16.60    Open Market

 

(d)    No other person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock beneficially owned by Mr. Schwab, except for The Charles & Helen Schwab Foundation and HOS Family Partners LLC, as noted in Item 5(b) above.
(e)    Inapplicable
Item 6.    Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
1.    Registration Rights and Stock Restriction Agreement, dated as of March 31, 1987 between Mr. Schwab and CL Acquisition Corporation (now named The Charles Schwab Corporation), which Agreement requires that share transfers be made in accordance with state and federal securities laws and subject to protection of the issuer’s rights and further provides for registration rights in certain circumstances.
2.    Non-Qualified Stock Option Agreement, dated as of September 16, 1992 between The Charles Schwab Corporation and Mr. Schwab pursuant to the 1992 Stock Incentive Plan.
3.    Non-Qualified Stock Option Agreement dated as of January 20, 2004 between The Charles Schwab Corporation and Mr. Schwab pursuant to the 2001 Stock Incentive Plan.
4.    Premium-Priced Stock Option Agreement dated as of October 20, 2005 between The Charles Schwab Corporation and Mr. Schwab pursuant to the 2004 Stock Incentive Plan.

 

 

 

 

 

 


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 13 of 14

 

Item 7.      Material to Be Filed as Exhibits.

 

Exhibit No.  

Description

1.   Registration Rights and Stock Restriction Agreement, dated as of March 31, 1987, between Charles R. Schwab and CL Acquisition Corporation (now named The Charles Schwab Corporation).*
2.   Non-Qualified Stock Option Agreement, dated as of September 16, 1992 between The Charles Schwab Corporation and Mr. Schwab pursuant to the 1992 Stock Incentive Plan.**
3.   Non-Qualified Stock Option Agreement dated as of January 20, 2004 between The Charles Schwab Corporation and Mr. Schwab pursuant to the 2001 Stock Incentive Plan.
4.   Premium-Priced Stock Option Agreement dated as of October 20, 2005 between The Charles Schwab Corporation and Mr. Schwab pursuant to the 2004 Stock Incentive Plan.

* Incorporated by reference to Exhibit 1 to Amendment No. 8 to Mr. Schwab’s Schedule 13D dated July 31, 1995.
** Incorporated by reference to Exhibit 4 to Amendment No. 5 to Mr. Schwab’s Schedule 13D dated May 6, 1994.


CUSIP No. 808513-10-5    SCHEDULE 13D    Page 14 of 14

 

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: March 9, 2006

 

/S/ Charles R. Schwab

Charles R. Schwab