Carolyn Schwab-Pomerantz - 26 Oct 2022 Form 3 Insider Report for SCHWAB CHARLES CORP (SCHW)

Role
Director
Signature
/s/ Kristopher R. Tate, Attorney-in-fact
Issuer symbol
SCHW
Transactions as of
26 Oct 2022
Net transactions value
$0
Form type
3
Filing time
01 Nov 2022, 17:17:45 UTC
Next filing
01 Nov 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SCHW Common Stock 10,255 26 Oct 2022 Direct F1
holding SCHW Common Stock 2,798 26 Oct 2022 by LLC
holding SCHW Common Stock 1,763,899 26 Oct 2022 by Trust
holding SCHW Common Stock 608,956 26 Oct 2022 by Spouse as Trustee
holding SCHW Common Stock 1,457 26 Oct 2022 by 401(k) F2
holding SCHW Common Stock 3,113 26 Oct 2022 by ESOP F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding SCHW Nonqualified Stock Option (right to buy) 26 Oct 2022 Common Stock 7,482 $28.44 Direct F3, F4
holding SCHW Nonqualified Stock Option (right to buy) 26 Oct 2022 Common Stock 6,897 $31.37 Direct F3, F5
holding SCHW Nonqualified Stock Option (right to buy) 26 Oct 2022 Common Stock 9,910 $31.65 Direct F3, F6
holding SCHW Nonqualified Stock Option (right to buy) 26 Oct 2022 Common Stock 6,677 $44.24 Direct F3, F7
holding SCHW Nonqualified Stock Option (right to buy) 26 Oct 2022 Common Stock 6,462 $46.39 Direct F3, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported holding constitutes 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.
F2 This information is based on a plan statement as of September 30, 2022.
F3 Granted under the company's 2013 Stock Incentive Plan.
F4 The option vested in four equal annual installments beginning on November 3, 2015, the first anniversary of the grant date.
F5 The option vested in four equal annual installments beginning on November 2, 2016, the first anniversary of the grant date.
F6 The option vested in four equal annual installments beginning on November 1, 2017, the first anniversary of the grant date.
F7 The option vested in four equal annual installments beginning on November 1, 2018, the first anniversary of the grant date.
F8 The option vests in four equal annual installments beginning on November 1, 2019, the first anniversary of the grant date.

Remarks:

Exhibit List: Exhibit 24 - Power of Attorney