FORM 3 |
UNITED STATES SECURITIES
AND EXCHANGE COMMISSION |
OMB APPROVAL |
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INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
OMB
Number: 3235-0104 Filed By |
1. Name and Address of Reporting Person* McLeod, Mary S. |
2. Date of Event |
4. Issuer Name and
Ticker or Trading Symbol |
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(Last) (First) (Middle) c/o The Charles Schwab Corporation |
3. I.R.S. Identification
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5. Relationship of
Reporting Person(s) Executive Vice President - Human Resources |
6. If Amendment, Date of Original (Month/Day/Year) |
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(Street) San Francisco, CA 94108 |
7. Individual
or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person |
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(City) (State) (Zip) |
Table I Non-Derivative Securities Beneficially Owned |
1. Title of Security |
2. Amount of |
3. Ownership Form: |
4. Nature of Indirect
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Common Stock |
25,000.00 |
D |
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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 5(b)(v). 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 |
FORM 3 (continued) |
Table II -
Derivative Securities Beneficially Owned |
1. Title of Derivative
Security |
2. Date Exercisable |
3. Title and Amount
of Securities |
4. Conversion or
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5. Ownership Form |
6. Nature of Indirect
Beneficial Ownership |
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Date |
Expiration |
Title |
Amount or |
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Incentive Stock Option (right to buy) | 7/16/03(1) |
7/16/12 |
Common Stock |
1,728.00 |
$10.4700 |
D |
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Incentive Stock Option (right to buy) | 2/27/03(1) |
2/27/12 |
Common Stock |
6,250.00 |
$13.1100 |
D |
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Incentive Stock Option (right to buy) | 10/25/02(1) |
10/25/11 |
Common Stock |
29,648.00 |
$13.4900 |
D |
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Non-Qualified Stock Option (right to buy) | 11/8/04(2) |
11/8/12 |
Common Stock |
125,000.00 |
$9.7100 |
D |
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Non-Qualified Stock Option (right to buy) | 7/16/03(1) |
7/16/12 |
Common Stock |
23,272.00 |
$10.4700 |
D |
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Non-Qualified Stock Option (right to buy) | 2/27/03(1) |
2/27/12 |
Common Stock |
18,750.00 |
$13.1100 |
D |
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Non-Qualified Stock Option (right to buy) | 10/25/02(1) |
10/25/11 |
Common Stock |
45,352.00 |
$13.4900 |
D |
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Explanation of Responses: (1) The options were granted pursuant to the Company's 1992 Stock Incentive Plan and/or 2001 Stock Incentive Plan and vest in four equal installments beginning on the first anniversary of the date of grant. |
By: /s/ Mary S. McLeod Mary S. McLeod **Signature of Reporting Person |
1/9/03 Date |
**Intentional misstatements
or omissions of facts constitute Federal Criminal Violations. Note: File three
copies of this Form, one of which must be manually signed. 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 Number.
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