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SCHWPC Schwab (Charles) Corp. Prfd C

0.00
0.00 (0.00%)
Pre Market
Last Updated: -
Delayed by 15 minutes
Name Symbol Market Type
Schwab (Charles) Corp. Prfd C NYSE:SCHWPC NYSE Preference Share
  Price Change % Change Price High Price Low Price Open Price Traded Last Trade
  0.00 0.00% 0 -

Statement of Changes in Beneficial Ownership (4)

04/09/2019 7:14pm

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 *

SCHWAB CHARLES R
2. Issuer Name and Ticker or Trading Symbol

SCHWAB CHARLES CORP [ SCHW ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    __X__ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chairman
(Last)          (First)          (Middle)

211 MAIN STREET
3. Date of Earliest Transaction (MM/DD/YYYY)

9/3/2019
(Street)

SAN FRANCISCO, CA 94105
(City)        (State)        (Zip)
4. 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

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  9/3/2019    M    82612.0000  A $17.3800  76628973.0000  I  by Trust 
Common Stock  9/3/2019    S(1)    82612.0000  D $38.0154 (2) 76546361.0000  I  by Trust 
Common Stock  9/4/2019    M    22810.0000  A $17.3800  76569171.0000  I  by Trust 
Common Stock  9/4/2019    S(1)    22810.0000  D $38.4658 (3) 76546361.0000  I  by Trust 
Common Stock                 44025.0000  I  by 188 Corp 
Common Stock                 32609941.0000  I  by Limited Partnership 
Common Stock                 18175245.3300  I  by Spouse as Trustee 

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 (right to buy)  $17.3800  9/3/2019    M        82612.0000   11/2/2010  11/2/2019  Common Stock  82612.0000  $0.0000  233654.0000  D   
Nonqualified Stock Option (right to buy)  $17.3800  9/4/2019    M        22810.0000   11/2/2010  11/2/2019  Common Stock  22810.0000  $0.0000  210844.0000  D   

Explanation of Responses:
(1)  The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 30, 2019.
(2)  This transaction was executed in multiple trades at prices ranging from $38.00 to $38.11. 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.
(3)  This transaction was executed in multiple trades at prices ranging from $38.33 to 38.53. 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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
SCHWAB CHARLES R
211 MAIN STREET
SAN FRANCISCO, CA 94105
X X Chairman

Signatures
Jamal Modir, Attorney-in-fact 9/4/2019
**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.

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