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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
| 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. | |||
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1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Nonqualified Stock Option (right to buy) | 11/01/2017(2) | 11/01/2027 | Common Stock | 11,938 | $ 44.24 | D | |
| Nonqualified Stock Option (right to buy) | 11/01/2018(2) | 11/01/2028 | Common Stock | 13,216 | $ 46.39 | D | |
| Nonqualified Stock Option (right to buy) | 12/01/2023(3) | 12/01/2033 | Common Stock | 55 | $ 63.16 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Beatty Jonathan S 3000 SCHWAB WAY WESTLAKE, TX 76262 |
MD, Head of Advisor Services | |||
| /s/ P. Blake Allen, Attorney-in-fact | 07/03/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | The reported holding comprises 7,196 restricted stock units granted under the company's 2013 Stock Incentive Plan and 18,594 restricted stock units granted under the company's 2022 Stock Incentive Plan, all of which vest in four equal annual installments beginning on the first anniversary of the grant date. |
| (2) | The option was granted under the company's 2013 Stock Incentive Plan and vested in four equal annual installments beginning on the first anniversary of the grant date. |
| (3) | The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date. |
| Remarks: Exhibit 24 - Power of Attorney |
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