UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE TO
TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1)
OF THE SECURITIES EXCHANGE ACT OF 1934
SoundView Technology Group, Inc.
(Name of Subject Company (Issuer))
Shakespeare Merger Corporation
a wholly-owned subsidiary of The Charles Schwab Corporation
and
The Charles Schwab Corporation
(Names of Filing Persons)
Common Stock and Class B Common Stock,
$0.01 par value per share
(Title of Class of Securities)
83611Q406
(CUSIP Number of Class of Securities)
Christopher V. Dodds
Executive Vice President and Chief Financial Officer
The Charles Schwab Corporation
120 Kearny Street
San Francisco, California 94108
(415) 627-7000
(Name, address, and telephone numbers of person authorized
to receive notices and communications on behalf of filing persons)
with a copy to:
Lawrence B. Rabkin, Esq.
Richard W. Canady, Esq.
Howard, Rice, Nemerovski, Canady, Falk & Rabkin
A Professional Corporation
Three Embarcadero Center, 7th Floor
San Francisco, California 94111
(415) 434-1600
CALCULATION OF FILING FEE
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Transaction valuation | Amount of filing fee
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Not Applicable | Not Applicable
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[ ] Check the box if any part of the fee is offset as provided by
Rule 0-11(a)(2) and identify the filing with which the offsetting fee was
previously paid. Identify the previous filing by registration statement
number, or the Form or Schedule and the date of its filing.
Amount Previously Paid: N/A Form or Registration No.: N/A
Filing Party: N/A Date Filed: N/A
[X] Check the box if the filing relates solely to preliminary communications
made before the commencement of a tender offer.
Check the appropriate boxes below to designate any transactions to which the
statement relates:
[X] third-party tender offer subject to Rule 14d-1.
[ ] issuer tender offer subject to Rule 13e-4.
[ ] going-private transaction subject to Rule 13e-3.
[ ] amendment to Schedule 13D under Rule 13d-2.
Check the following box if the filing is a final amendment reporting the results
of the tender offer: [ ]
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Exhibit No. Reference No. Description
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99.1 (a)(5)(A) Joint Press Release issued by The Charles Schwab
Corporation and SoundView Technology Group, Inc.
on November 19, 2003
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99.2 (a)(5)(B) Powerpoint slide presentation
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