0001062993-23-003859.txt : 20230216 0001062993-23-003859.hdr.sgml : 20230216 20230216192208 ACCESSION NUMBER: 0001062993-23-003859 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230214 FILED AS OF DATE: 20230216 DATE AS OF CHANGE: 20230216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HERRINGER FRANK C CENTRAL INDEX KEY: 0001171694 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09700 FILM NUMBER: 23639914 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 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2023-02-14 0000316709 SCHWAB CHARLES CORP SCHW 0001171694 HERRINGER FRANK C 3000 SCHWAB WAY WESTLAKE TX 76262 1 0 0 0 Common Stock 2023-02-14 4 M 0 14345 19.21 A 19244 D Common Stock 2023-02-14 5 G 0 E 14345 0 D 4899 D Common Stock 2023-02-14 5 G 0 E 14345 0 A 166165 I by Trust Common Stock 2023-02-14 4 S 0 9139 80.8678 D 157026 I by Trust Common Stock 50625 I by Spouse Nonqualified Stock Option (right to buy) 19.21 2023-02-14 4 M 0 14345 0 D 2023-05-20 Common Stock 14345 0 D This transaction was executed in multiple trades at prices ranging from $80.80 to $80.945. 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. The option was granted under the company's 2013 Stock Incentive Plan and vested (i) 25% on May 20, 2014, (ii) 25% on May 20, 2015, and (iii) 50% on May 20, 2016. /s/ Kristopher R. Tate, Attorney-in-fact 2023-02-16