X0201 4 2004-01-16 0 0001071620 SOUNDVIEW TECHNOLOGY GROUP INC SNDV 0001194021 HARDIMAN JOSEPH R 1700 EAST PUTNAM AVE OLD GREENWICH CT 06870 1 0 0 0 Stock Option 7.14 2004-01-16 4 D 0 7000 D 2008-11-11 Common Stock, par value $.01 per share 7000 0 D Stock Option 10.71 2004-01-16 4 D 0 3500 D 2009-03-17 Common Stock, par value $.01 per share 3500 0 D Stock Option 56.25 2004-01-16 4 D 0 2000 D 2010-04-19 Common Stock, par value $.01 per share 2000 0 D Stock Option 26.57 2004-01-16 4 D 0 2000 D 2011-01-24 Common Stock, par value $.01 per share 2000 0 D Stock Option 13.25 2004-01-16 4 D 0 2000 D 2012-01-23 Common Stock, par value $.01 per share 2000 0 D Stock Option 10.16 2004-01-16 4 D 0 10000 D 2013-07-23 Common Stock, par value $.01 per share 10000 0 D This option, which provided for vesting in sixteen equal quarterly installments beginning the end of the first quarter after the date of grant, was cancelled pursuant to the Agreement and Plan of Merger, dated November 18, 2003, among The Charles Schwab Corporation, Shakespeare Merger Corporation and SoundView Technology Group, Inc. in exchange for a cash payment of $58,520, representing the difference between the exercise price of the option and the market value of the underlying common stock on the effective date of the merger ($15.50). This option, which provided for vesting in sixteen equal quarterly installments beginning the end of the first quarter after the date of grant, was cancelled in the merger in exchange for a cash payment of $16,765, representing the difference between the exercise price of the option and the market value of the underlying common stock on the effective date of the merger ($15.50). This option, which provided for vesting in sixteen equal quarterly installments beginning on September 30, 2000, was cancelled in the merger. Mr. Hardiman did not receive any cash payment for this option. This option, which provided for vesting in sixteen equal quarterly installments beginning on March 31, 2001, was cancelled in the merger. Mr. Hardiman did not receive any cash payment for this option. This option, which provided for vesting in sixteen equal quarterly installments beginning on March 31, 2002, was cancelled in the merger in exchange for a cash payment of $4,500, representing the difference between the exercise price of the option and the market value of the underlying common stock on the effective date of the merger ($15.50). The cash payment attributable to the unvested portion of the option will be held in an account for the benefit of Mr. Hardiman and will be payable to Mr. Hardiman upon the same schedule and in amounts corresponding to the vesting of the underlying cancelled option. This option, which provided for vesting in sixteen equal quarterly installments beginning on September 30, 2003, was cancelled in the merger in exchange for a cash payment of $53,400, representing the difference between the exercise price of the option and the market value of the underlying common stock on the effective date of the merger ($15.50). The cash payment attributable to the unvested portion of the option will be held in an account for the benefit of Mr. Hardiman and will be payable to Mr. Hardiman upon the same schedule and in amounts corresponding to the vesting of the underlying cancelled option. Joseph Hardiman 2004-01-16