0001062993-22-024101.txt : 20221219 0001062993-22-024101.hdr.sgml : 20221219 20221219164251 ACCESSION NUMBER: 0001062993-22-024101 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221028 FILED AS OF DATE: 20221219 DATE AS OF CHANGE: 20221219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Murtagh Nigel J CENTRAL INDEX KEY: 0001649599 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 221471649 MAIL ADDRESS: STREET 1: C/O THE CHARLES SCHWAB CORPORATION STREET 2: 211 MAIN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SCHWAB CHARLES CORP CENTRAL INDEX KEY: 0000316709 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 943025021 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3000 SCHWAB WAY CITY: WESTLAKE STATE: TX ZIP: 76262 BUSINESS PHONE: 817-859-5000 MAIL ADDRESS: STREET 1: 3000 SCHWAB WAY CITY: WESTLAKE STATE: TX ZIP: 76262 4/A 1 form4a.xml AMENDED STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4/A 2022-10-28 2022-11-01 0000316709 SCHWAB CHARLES CORP SCHW 0001649599 Murtagh Nigel J 3000 SCHWAB WAY WESTLAKE TX 76262 0 1 0 0 MD, Chief Risk Officer Common Stock 2022-10-28 4 M 0 16169 30.17 A 84273.6269 D Common Stock 2022-10-28 4 S 0 16169 79.9953 D 68104.6269 D Common Stock 1315 I by ESPP Nonqualified Stock Option 30.17 2022-10-28 4 M 0 16169 0 D 2025-03-02 Common Stock 16169 0 D The original Form 4 inadvertently omitted this transaction. Includes 137.3222 shares acquired through dividend reinvestment that were previously inadvertently omitted. 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. Includes 208 shares acquired under the company's Employee Stock Purchase Plan that were previously inadvertently omitted. 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. /s/ Kristopher R. Tate, Attorney-in-fact 2022-12-19