Initial Statement of Beneficial Ownership (3)
October 27 2021 - 02:12PM
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
Estimated average burden
hours per response... 0.5 |
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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 * Wurster Richard A |
2. Date of Event Requiring Statement
(MM/DD/YYYY)
10/15/2021
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3. Issuer Name and Ticker or Trading
Symbol SCHWAB CHARLES CORP [SCHW] |
(Last)
(First)
(Middle)
3000 SCHWAB WAY |
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
___X___ Officer (give title
below) _____
Other (specify below)
President / |
(Street)
WESTLAKE, TX 76262
(City)
(State)
(Zip)
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5. If Amendment, Date Original
Filed(MM/DD/YYYY)
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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 Beneficially
Owned
|
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 |
29229.0000 (1) |
D |
|
Common Stock |
2868.0000 |
I |
by ESPP |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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) |
6/3/2020 (2) |
6/3/2029 |
Common Stock |
52138.0000 |
$41.6300 |
D |
|
Nonqualified Stock Option (right to buy) |
3/2/2021 (2) |
3/2/2030 |
Common Stock |
37899.0000 |
$41.9800 |
D |
|
Nonqualified Stock Option (right to buy) |
11/1/2018 (2) |
11/1/2027 |
Common Stock |
20486.0000 |
$44.2400 |
D |
|
Nonqualified Stock Option (right to buy) |
11/1/2019 (2) |
11/1/2028 |
Common Stock |
19824.0000 |
$46.3900 |
D |
|
Nonqualified Stock Option (right to buy) |
3/1/2022 (2) |
3/1/2031 |
Common Stock |
63073.0000 |
$64.1000 |
D |
|
Explanation of
Responses: |
(1) |
The reported holding
includes 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
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Wurster Richard A
3000 SCHWAB WAY
WESTLAKE, TX 76262 |
|
|
President |
|
Signatures
|
Jamal Modir, Attorney-in-fact |
|
10/27/2021 |
**Signature of Reporting
Person |
Date |
Charles Schwab (NYSE:SCHW)
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