Initial Statement of Beneficial Ownership (3)
November 01 2019 - 3:25PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Morgan Peter J. III |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/23/2019
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3. Issuer Name and Ticker or Trading Symbol
SCHWAB CHARLES CORP [SCHW]
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(Last)
(First)
(Middle)
211 MAIN STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) EVP and General Counsel / |
(Street)
SAN FRANCISCO, CA 94105
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 11122.0000 (1) | D | |
Common Stock | 139.0000 | I | by ESOP |
Common Stock | 1015.0000 | I | by ESPP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Nonqualified Stock Option (right to buy) | 11/3/2015 (2) | 11/3/2024 | Common Stock | 3429.0000 | $28.4400 | D | |
Nonqualified Stock Option (right to buy) | 11/2/2016 (2) | 11/2/2025 | Common Stock | 6552.0000 | $31.3700 | D | |
Nonqualified Stock Option (right to buy) | 11/1/2017 (2) | 11/1/2026 | Common Stock | 10136.0000 | $31.6500 | D | |
Nonqualified Stock Option (right to buy) | 11/1/2018 (2) | 11/1/2027 | Common Stock | 9105.0000 | $44.2400 | D | |
Nonqualified Stock Option (right to buy) | 11/1/2019 (2) | 11/1/2028 | Common Stock | 8811.0000 | $46.3900 | D | |
Explanation of Responses: |
(1) | The reported holding constitute grants of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest in four equal annual installments beginning on the first anniversary of the grant date. |
(2) | The option was granted under the company's 2013 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Morgan Peter J. III 211 MAIN STREET SAN FRANCISCO, CA 94105 |
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| EVP and General Counsel |
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Signatures
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Jamal Modir, Attorney-in-fact | | 11/1/2019 |
**Signature of Reporting Person | Date |
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