Clark Bernard J.'s Form 4/A amendment
AmendedSchwab Charles Corp (SCHW) · filed Apr 7, 2022
- Accession no.
- 0001225208-22-005691
- Filed
- Apr 7, 2022
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Oct 27, 2021
This filing lists no transactions. It carries over 4 transactions from the original filing that it did not restate. Open-market sales total $2.38M.
This amendment restates part of 0001225208-21-013308 (filed Oct 27, 2021). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Clark Bernard J.CIK 0001564429 | Officer (MD, EVP - Advisor Services) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001225208-21-013308 (filed Oct 27, 2021).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 25, 2021 | Common Stock | AGrant or awardAcquired | +59,931 | $0.00 | $0 | 59,931 | Direct | |
| Oct 26, 2021 | Common Stock | MOption exerciseAcquired | +28,370 | $42.99 | +$1,219,626.3 | 100,638.81 | Indirect | |
| Oct 26, 2021 | Common Stock | SSaleDisposed | −28,370 | $84.00F3 | −$2,383,080 | 72,268.81 | Indirect |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 26, 2021 | Common Stock | MOption exerciseDisposed | −28,370 | $0.00 | $0 | 28,670 | Indirect |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F3
This transaction was executed in multiple trades at prices ranging from $84.00 to $84.02. 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.
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, filed on October 27, 2021, is being amended solely to correct an administrative error, which inadvertently misreported grants of restricted stock units on October 25, 2021 for 59,931 shares when no such grants were received by the reporting person. As of October 27, 2021, the reporting person did not directly hold any shares of common stock.