Amended Statement of Changes in Beneficial Ownership (4/a)
19 Dicembre 2022 - 10:43PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Murtagh Nigel J |
2. Issuer Name and Ticker or Trading Symbol
SCHWAB CHARLES CORP
[
SCHW
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) MD, Chief Risk Officer |
(Last)
(First)
(Middle)
3000 SCHWAB WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/28/2022 |
(Street)
WESTLAKE, TX 76262
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
11/1/2022 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 10/28/2022 | | M(1) | | 16169 | A | $30.17 | 84273.6269 (2) | D | |
Common Stock | 10/28/2022 | | S | | 16169 | D | $79.9953 (3) | 68104.6269 | D | |
Common Stock | | | | | | | | 1315 (4) | I | by ESPP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Nonqualified Stock Option | $30.17 | 10/28/2022 | | M (1) | | | 16169 | (5) | 3/2/2025 | Common Stock | 16169 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The original Form 4 inadvertently omitted this transaction. |
(2) | Includes 137.3222 shares acquired through dividend reinvestment that were previously inadvertently omitted. |
(3) | This transaction was executed in multiple trades at prices ranging from $79.975 to $80.025. 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. |
(4) | Includes 208 shares acquired under the company's Employee Stock Purchase Plan that were previously inadvertently omitted. |
(5) | The option was granted under the company's 2013 Stock Incentive Plan and vested in four equal annual installments beginning on March 2, 2016, the first anniversary of the grant date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Murtagh Nigel J 3000 SCHWAB WAY WESTLAKE, TX 76262 |
|
| MD, Chief Risk Officer |
|
Signatures
|
/s/ Kristopher R. Tate, Attorney-in-fact | | 12/19/2022 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
Grafico Azioni Charles Schwab (NYSE:SCHW-D)
Storico
Da Ott 2024 a Nov 2024
Grafico Azioni Charles Schwab (NYSE:SCHW-D)
Storico
Da Nov 2023 a Nov 2024
Notizie in Tempo Reale relative a Charles Schwab Corporation (Borsa di New York (NYSE)): 0 articoli recenti
Più Schwab Charles Corp Articoli Notizie