Murtagh Nigel J's Form 4/A amendment
AmendedSchwab Charles Corp (SCHW) · filed Dec 19, 2022
- Accession no.
- 0001062993-22-024101
- Filed
- Dec 19, 2022
- Trade date
- Oct 28, 2022
- Filing delay
- 52 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Nov 1, 2022
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.29M. It was filed 52 days after the trade.
This amendment replaces 0001062993-22-021374 (filed Nov 1, 2022).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Murtagh Nigel JCIK 0001649599 | Officer (MD, Chief Risk Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 28, 2022 | Common Stock | MOption exerciseAcquired | +16,169 | $30.17 | +$487,818.73 | 84,273.63 | Direct | |
| Oct 28, 2022 | Common Stock | SSaleDisposed | −16,169 | $80.00F3 | −$1,293,520 | 68,104.63 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 28, 2022 | Common Stock | MOption exerciseDisposed | −16,169 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The original Form 4 inadvertently omitted this transaction.
- F2
Includes 137.3222 shares acquired through dividend reinvestment that were previously inadvertently omitted.
- F3
This transaction was executed in multiple trades at prices ranging from $79.975 to $80.025. 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.
Referenced by the price of 1 transaction in Table I.
- F4
Includes 208 shares acquired under the company's Employee Stock Purchase Plan that were previously inadvertently omitted.
- F5
The option was granted under the company's 2013 Stock Incentive Plan and vested in four equal annual installments beginning on March 2, 2016, the first anniversary of the grant date.