Mga Batayang Estadistika
| LEI | 549300VSGCJ7E698NM85 |
| CIK | 316709 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to The Charles Schwab Corporation - Preferred Stock
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPO |
|
| July 18, 2025 |
Exhibit 99.1 25% REVENUE GROWTH POWERS RECORD 2Q25 RESULTS Second Quarter Core Net New Assets Equal $80.3 Billion, Up 31% Year-Over-Year New Accounts Exceed 1 Million and Total Client Assets Reach a Record $10.76 Trillion Record Quarterly GAAP Earnings Per Share of $1.08, $1.14 Adjusted (1) WESTLAKE, Texas, July 18, 2025 – The Charles Schwab Corporation reported net income for the second quarter t |
|
| July 18, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 18, 2025 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| June 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 A. Full title and address of |
|
| June 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 2, 2025 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of i |
|
| June 2, 2025 |
Exhibit 3.1 CERTIFICATE OF ELIMINATION OF THE 5.375% FIXED-RATE RESET NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES G OF THE CHARLES SCHWAB CORPORATION (Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware) The Charles Schwab Corporation, a Delaware corporation (the “Corporation”), hereby certifies as follows: 1. Resolutions were adopted by the Shelf Securities Pri |
|
| May 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2025 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissio |
|
| May 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORP |
|
| April 17, 2025 |
Exhibit 99.1 SCHWAB REPORTS RECORD FIRST QUARTER REVENUE March Core Net New Assets Equal $59.1 Billion, 1Q25 Totals $137.7 Billion 1Q25 Net Revenues Up 18% Year-Over-Year to a Record $5.6 Billion Quarterly GAAP Earnings Per Share of $.99, $1.04 Adjusted (1) – Up 41% Versus 1Q24 WESTLAKE, Texas, April 17, 2025 – The Charles Schwab Corporation reported net income for the first quarter totaling $1.9 |
|
| April 17, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 17, 2025 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| April 4, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
|
| April 4, 2025 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
|
| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 31, 2025 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commiss |
|
| February 26, 2025 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. Exhibit 4.11 THE CHARLES SCHWAB CORPORATION DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2024, The Charles Schwab Corporation (“CSC, we, us, and our”) had three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (1) our common stock, (2) our Depositary Shares, Each Representi |
|
| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPORATI |
|
| February 26, 2025 |
Subsidiaries of the Registrant. THE CHARLES SCHWAB CORPORATION EXHIBIT 21.1 Subsidiaries of the Registrant Pursuant to Item 601 (b)(21)(ii) of Regulation S-K, certain subsidiaries of the Registrant have been omitted which, considered in the aggregate as a single subsidiary, would not constitute a significant subsidiary (as defined in Rule 1-02(w) of Regulation S-X) as of December 31, 2024. Charles Schwab & Co., Inc., a Californi |
|
| February 26, 2025 |
rporation Insider Trading Policy EXHIBIT 19.1 The Charles Schwab Corporation Insider Trading Policy Statement of Policy The Charles Schwab Corporation (CSC) and its operating subsidiaries (collectively, “Schwab” or the “Company”) have adopted this policy to promote compliance with applicable laws and regulations regarding insider trading or allegations thereof, and to protect the Company’s reputation for integrity and ethical con |
|
| February 12, 2025 |
Exhibit 10.1 Executed Version The Charles Schwab Corporation COMMON STOCK, PAR VALUE $0.01 PER SHARE REPURCHASE AGREEMENT February 9, 2025 TD Group US Holdings LLC Repurchase Agreement February 9, 2025 TD GROUP US HOLDINGS LLC Ladies and Gentlemen: Introductory. The Charles Schwab Corporation, a Delaware corporation (the “Company”), proposes to repurchase from TD Group US Holdings LLC (the “Seller |
|
| February 12, 2025 |
The Charles Schwab Corporation Completes Secondary Offering of Common Stock Exhibit 99.2 The Charles Schwab Corporation Completes Secondary Offering of Common Stock WESTLAKE, Texas, February 12, 2025—The Charles Schwab Corporation (NYSE: SCHW) (the “Company” or “Charles Schwab”) completed the previously announced secondary offering by TD Group US Holdings LLC, an affiliate of The Toronto-Dominion Bank (“TD”), of 165,443,530 shares of the Company’s common stock at $79.25 p |
|
| February 12, 2025 |
Exhibit 1.1 THE CHARLES SCHWAB CORPORATION 165,443,530 Shares Common Stock ($0.01 par value per Share) UNDERWRITING AGREEMENT February 10, 2025 UNDERWRITING AGREEMENT February 10, 2025 TD Securities (USA) LLC Goldman Sachs & Co. LLC as Representatives of the several Underwriters named in Schedule A hereto c/o TD Securities (USA) LLC 1 Vanderbilt Avenue New York, New York 10017 c/o Goldman Sachs & |
|
| February 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 12, 2025 (February 10, 2025) The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State o |
|
| February 12, 2025 |
Exhibit 99.1 The Charles Schwab Corporation Announces Pricing of $13.1 Billion Secondary Offering of its Common Stock held by an affiliate of The Toronto-Dominion Bank WESTLAKE, Texas, February 11, 2025—The Charles Schwab Corporation (NYSE: SCHW) (the “Company” or “Charles Schwab”) today announced the pricing of the previously announced secondary offering by TD Group US Holdings LLC, an affiliate |
|
| February 11, 2025 |
EXHIBIT 107 Calculation of Filing Fee Table 424(b)(7) (Form Type) The Charles Schwab Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee (3) Newly Registered Securities Fees to be Paid Equity Common Stock $0. |
|
| February 11, 2025 |
165,443,530 Shares The Charles Schwab Corporation Common Stock Filed Pursuant to 424(b)(7) Registration No. 333-275858 PROSPECTUS SUPPLEMENT (To Prospectus dated December 1, 2023) 165,443,530 Shares The Charles Schwab Corporation Common Stock This prospectus supplement relates to an offering of 165,443,530 shares of our common stock, par value $0.01 per share, by an affiliate of The Toronto-Dominion Bank (“TD” or the “selling stockholder”). We will not receiv |
|
| February 10, 2025 |
The Charles Schwab Corporation Common Stock Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-275858 PROSPECTUS SUPPLEMENT (To Prospectus Dated December 1, 2023) The Charles Schwab Corporation Common Stock One or more broker-dealer affiliates of The Toronto-Dominion Bank (which may be deemed to be an affiliate of The Charles Schwab Corporation), including TD Securities (USA) LLC, may use this prospectus supplement in c |
|
| February 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): February 10, 2025 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| February 10, 2025 |
SUBJECT TO COMPLETION, DATED FEBRUARY 10, 2025 424B7 Table of Contents Filed Pursuant to 424(b)(7) Registration No. 333-275858 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJECT TO COMPLETION, |
|
| February 10, 2025 |
ISSUER FREE WRITING PROSPECTUS (RELATING TO PRELIMINARY PROSPECTUS SUPPLEMENT DATED FEBRUARY 10, 2025 AND PROSPECTUS DATED DECEMBER 1, 2023) FILED PURSUANT TO RULE 433 REGISTRATION NUMBER 333-275858 The Charles Schwab Corporation Announces Secondary Offering of its Common Stock held by an affiliate of The Toronto-Dominion Bank; Plans $1. |
|
| February 10, 2025 |
EX-99.1 Exhibit 99.1 The Charles Schwab Corporation Announces Secondary Offering of its Common Stock held by an affiliate of The Toronto-Dominion Bank; Plans $1.5 Billion Stock Repurchase WESTLAKE, Texas, New York, February 10, 2025—The Charles Schwab Corporation (NYSE: SCHW) (the “Company” or “Charles Schwab”) today announced the commencement of a secondary offering of its common stock through wh |
|
| January 21, 2025 |
Exhibit 99.1 SCHWAB REPORTS FOURTH QUARTER AND FULL YEAR RESULTS December Core Net New Assets Equal $61.4 Billion, 4Q24 Totals $114.8 Billion 4Q Net Revenues Up 20% Year-Over-Year to $5.3 Billion Quarterly GAAP Earnings Per Share of $.94, $1.01 Adjusted (1) – Up 49% Versus 4Q23 WESTLAKE, Texas, January 21, 2025 – The Charles Schwab Corporation reported net income for the fourth quarter totaling $1 |
|
| January 21, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 21, 2025 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| November 13, 2024 |
SCHW / The Charles Schwab Corporation / DODGE & COX - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 0 )* THE CHARLES SCHWAB CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 808513105 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
|
| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB |
|
| October 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 15, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| October 15, 2024 |
Exhibit 99.1 SCHWAB REPORTS THIRD QUARTER RESULTS Total Client Assets Increased 27% Year-Over-Year to a Record $9.92 Trillion Core Net New Assets Equaled $95.3 Billion, Year-To-Date Exceeds $250 Billion Quarterly Net Revenues Grew 5% Year-Over-Year to $4.8 Billion WESTLAKE, Texas, October 15, 2024 – The Charles Schwab Corporation reported net income for the third quarter totaling $1.4 billion, or |
|
| October 1, 2024 |
Exhibit 99.1 MEDIA: INVESTORS/ANALYSTS: Kate Pulley Jeff Edwards Charles Schwab Charles Schwab [email protected] [email protected] Phone: 551-277-8688 Phone: 415-667-1524 WALT BETTINGER TO RETIRE AS CEO WILL CONTINUE SERVING AS EXECUTIVE CO-CHAIRMAN OF THE BOARD OF DIRECTORS RICK WURSTER NAMED CEO TO SUCCEED BETTINGER WESTLAKE, Texas, October 1, 2024 – The Charles Schwab Corporation tod |
|
| October 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Com |
|
| August 23, 2024 |
EX-99.5 2 d835182dex995.htm EX-99.5 Exhibit 5 August 21, 2024 [•] Ladies and Gentlemen: For a period of 45 days beginning on the date hereof (the “Lock-Up Period”), the undersigned securityholder will not, and will not cause or direct any of its affiliates to, (1) offer, sell, contract to sell, pledge, grant any option to purchase, make any short sale or otherwise dispose of any shares of common s |
|
| August 23, 2024 |
SCHW / The Charles Schwab Corporation / TORONTO DOMINION BANK - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* The Charles Schwab Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 808513105 (CUSIP Number) Jane Langford, Esq. The Toronto-Dominion Bank Toronto-Dominion Centre P.O. Box 1 Toronto, Ontario M5K |
|
| August 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPO |
|
| July 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 24, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissi |
|
| July 16, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 16, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| July 16, 2024 |
Exhibit 99.1 SCHWAB REPORTS SECOND QUARTER RESULTS Total Client Assets Reached A Record $9.4 Trillion, Up 17% Year-Over-Year Core Net New Assets Rose 17% to $61.2 Billion, Highlighting Continued Momentum WESTLAKE, Texas, July 16, 2024 – The Charles Schwab Corporation reported net income for the second quarter totaling $1.3 billion, or $.66 diluted earnings per common share. Excluding $175 million |
|
| June 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 A. Full title and address of |
|
| May 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissio |
|
| May 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 16, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissio |
|
| May 16, 2024 |
SCHWAB ANNOUNCES EXECUTIVE TRANSITIONS Exhibit 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB ANNOUNCES EXECUTIVE TRANSITIONS WESTLAKE, Texas, May 16, 2024 – The Charles Schwab Corporation today announced several executive transitions as part of the firm’s long-term succession planning strategy. Peter Crawford, after a distin |
|
| May 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 16, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissio |
|
| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORP |
|
| April 16, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14a-103 Name of the Registrant: The Charles Schwab Corporation Name of persons relying on exemption: Inspire Investing, LLC Address of persons relying on exemption: 3597 E Monarch Sky Ln, Suite 330, Meridian, ID 83646 As over 100 investors and financial professionals, serving thou |
|
| April 15, 2024 |
Exhibit 99.1 SCHWAB REPORTS FIRST QUARTER RESULTS March Core Net New Assets Equaled $45 Billion – Annualized Growth Rate of 6% Total Client Assets Reached A Record $9.1 Trillion, Up 20% Year-Over-Year Expanded Profitability With GAAP Pre-Tax Margin of 37.9%; 40.9% Adjusted (1) WESTLAKE, Texas, April 15, 2024 – The Charles Schwab Corporation reported first quarter 2024 net revenues of $4.7 billion, |
|
| April 15, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 15, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| April 11, 2024 |
Notice of Exempt Solicitation NAME OF REGISTRANT: The Charles Schwab Corporation NAME OF PERSONS RELYING ON EXEMPTION: Arjuna Capital ADDRESS OF PERSON RELYING ON EXEMPTION: 13 Elm St. |
|
| April 5, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14 |
|
| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
|
| March 28, 2024 |
Vote Yes: Report on Respecting Workforce Civil Liberties NOTICE OF EXEMPT SOLICITATION SUBMITTED BY NON-MANAGEMENT U.S. Securities and Exchange Commission Washington, DC 20549 Notice of Exempt Solicitation under Rule 14a-103 Name of Registrant: The Charles Schwab Corporation Name of person relying on exemption: Bowyer Research Address of person relying on exemption: P.O. Box 120, McKeesport, PA 15135 Vote Yes: Report on Respecting Workforce Civil Libert |
|
| February 23, 2024 |
Exhibit 10.432 THE CHARLES SCHWAB CORPORATION 2022 STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT GRANT (PERFORMANCE-BASED VESTING) You have been granted Restricted Stock Units. A Restricted Stock Unit represents the right to receive, subject to certain conditions, a share of common stock (a “Share”) of The Charles Schwab Corporation (“Schwab”) under The Charles Schwab Corporation 2022 Stock |
|
| February 23, 2024 |
Subsidiaries of the Registrant. THE CHARLES SCHWAB CORPORATION EXHIBIT 21.1 Subsidiaries of the Registrant Pursuant to Item 601 (b)(21)(ii) of Regulation S-K, certain subsidiaries of the Registrant have been omitted which, considered in the aggregate as a single subsidiary, would not constitute a significant subsidiary (as defined in Rule 1-02(w) of Regulation S-X) as of December 31, 2023. Charles Schwab & Co., Inc., a Californi |
|
| February 23, 2024 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. Exhibit 4.11 THE CHARLES SCHWAB CORPORATION DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2023, The Charles Schwab Corporation (“CSC, we, us, and our”) had three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (1) our common stock, (2) our Depositary Shares, Each Representi |
|
| February 23, 2024 |
Exhibit 10.433 THE CHARLES SCHWAB CORPORATION 2022 STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT GRANT You have been granted Restricted Stock Units. A Restricted Stock Unit represents the right to receive, subject to certain conditions, a share of common stock (a “Share”) of The Charles Schwab Corporation (“Schwab”) under The Charles Schwab Corporation 2022 Stock Incentive Plan (the “Plan”) |
|
| February 23, 2024 |
Exhibit 10.431 THE CHARLES SCHWAB CORPORATION 2022 STOCK INCENTIVE PLAN NOTICE OF NONQUALIFIED STOCK OPTION GRANT You have been granted the following option to purchase common stock (“Shares”) of The Charles Schwab Corporation (“Schwab”) under The Charles Schwab Corporation 2022 Stock Incentive Plan (the “Plan”). A stock option represents the right to purchase Shares at a fixed price, called the e |
|
| February 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPORATI |
|
| February 23, 2024 |
Exhibit 10.434 THE CHARLES SCHWAB CORPORATION 2022 STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT GRANT You have been granted Restricted Stock Units. A Restricted Stock Unit represents the right to receive, subject to certain conditions, a share of common stock (a “Share”) of The Charles Schwab Corporation (“Schwab”) under The Charles Schwab Corporation 2022 Stock Incentive Plan (the “Plan”) |
|
| February 23, 2024 |
Incentive Compensation Recovery Policy. EXHIBIT 97.1 The Charles Schwab Corporation Section 16 Officer Incentive Compensation Recovery Policy Section 16 Officer Incentive Compensation Recovery Policy CHAIN OF APPROVALS Policy Owner Katie Casey, Managing Director and Head of Human Resources Phillip Brant, Managing Director, Head of Executive Compensation Board of Directors or Designated Committee of the Board (collectively “Board”) Compe |
|
| February 13, 2024 |
SCHW / The Charles Schwab Corporation / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0583-charlesschwabcorpthe.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 8)* Name of issuer: Charles Schwab Corp/The Title of Class of Securities: Common Stock CUSIP Number: 808513105 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to |
|
| January 17, 2024 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS FOURTH QUARTER AND FULL YEAR RESULTS December Core Net New Assets Exceed $40 Billion – Annualized Growth Rate of 6% Total Client Assets Reach Record $8.5 Trillion at Year-end, Up 21% WESTLAKE, Texas, January 17, 2024 – The Ch |
|
| January 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 17, 2024 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| December 21, 2023 |
December 21, 2023 Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F Street NE Washington, D. |
|
| December 1, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) THE CHARLES SCHWAB CORPORATION (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to Be Paid Equity Common Stock, par value $0. |
|
| December 1, 2023 |
Form of Underwriting Agreement for Offerings of Debt Securities Exhibit 1.1 THE CHARLES SCHWAB CORPORATION $[ ] [ ]% [ ] Notes due [ ] UNDERWRITING AGREEMENT [ ] UNDERWRITING AGREEMENT [ ] [Underwriters] Ladies and Gentlemen: The Charles Schwab Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the several underwriters named in Schedule A hereto (the “Underwriters”), for whom y |
|
| December 1, 2023 |
Exhibit 25.2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) 95- |
|
| December 1, 2023 |
As filed with the Securities and Exchange Commission on December 1, 2023 Table of Contents As filed with the Securities and Exchange Commission on December 1, 2023 Registration No. |
|
| December 1, 2023 |
Exhibit 4.19 FORM OF SENIOR INDENTURE THE CHARLES SCHWAB CORPORATION TO THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. Trustee Dated as of [], [] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.1 Definitions 1 Section 1.2 Compliance Certificate and Opinions 9 Section 1.3 Forms of Documents Delivered to Trustee 9 Section 1.4 Acts of Holders 10 S |
|
| December 1, 2023 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) 95- |
|
| December 1, 2023 |
Exhibit 4.20 FORM OF SUBORDINATED INDENTURE THE CHARLES SCHWAB CORPORATION TO THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. Trustee Dated as of [ ], [ ] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.1 Definitions 1 Section 1.2 Compliance Certificate and Opinions 9 Section 1.3 Forms of Documents Delivered to Trustee 10 Section 1.4 Acts of Hol |
|
| November 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| November 17, 2023 |
by and between CSC and The Bank of New York Mellon Trust Company, N.A., as Trustee EX-4.85 Exhibit 4.85 Execution Version THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 6.196% Fixed-to-Floating Rate Senior Notes due 2029 Twenty-Fourth Supplemental Indenture Dated as of November 17, 2023 to Senior Indenture dated as of June 5, 2009 Table of Contents Page Article I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 |
|
| November 17, 2023 |
EX-1.1 Exhibit 1.1 THE CHARLES SCHWAB CORPORATION $1,300,000,000 6.196% Fixed-to-Floating Rate Senior Notes due 2029 UNDERWRITING AGREEMENT November 15, 2023 UNDERWRITING AGREEMENT November 15, 2023 BofA Securities, Inc. Citigroup Global Markets Inc. Goldman Sachs & Co. LLC J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Wells Fargo Securities, LLC as Representatives of the several Underwriter |
|
| November 17, 2023 |
EX-FILING FEES Exhibit 107 Calculation of registration fee Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to Be Paid Debt 6. |
|
| November 17, 2023 |
The Charles Schwab Corporation $1,300,000,000 6.196% Fixed-to-Floating Rate Senior Notes due 2029 424B5 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 PROSPECTUS SUPPLEMENT (To Prospectus dated December 4, 2020) The Charles Schwab Corporation $1,300,000,000 6.196% Fixed-to-Floating Rate Senior Notes due 2029 This is an offering of $1,300,000,000 aggregate principal amount of 6.196% Fixed-to-Floating Rate Senior Notes due 2029 (the “notes”) to be issued by The Charles |
|
| November 15, 2023 |
SUBJECT TO COMPLETION, DATED NOVEMBER 15, 2023 424B5 Table of Contents The information in this preliminary prospectus supplement is not complete and may be changed. |
|
| November 15, 2023 |
Filed Pursuant to Rule 433 Dated November 15, 2023 Registration Statement: No. 333-251156 The Charles Schwab Corporation $1,300,000,000 6.196% FIXED-TO-FLOATING RATE SENIOR NOTES DUE 2029 SUMMARY OF TERMS Issuer: The Charles Schwab Corporation (“CSC”), a Delaware corporation Expected Ratings: (Moody’s / S&P / Fitch)* A2/Stable, A-/Stable, A/Stable Security Type: Senior Unsecured Notes Pricing Date |
|
| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB |
|
| October 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 16, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| October 16, 2023 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS THIRD QUARTER RESULTS Successfully Completed Largest Brokerage Conversion Event in History September Core Net New Assets Exceeded $27 Billion Bank Sweep Deposits Grew During September WESTLAKE, Texas, October 16, 2023 – The C |
|
| October 11, 2023 |
October 11, 2023 Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F Street NE Washington, D. |
|
| August 24, 2023 |
Calculation of registration fee Exhibit 107 Calculation of registration fee Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to Be Paid Debt 6. |
|
| August 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction o |
|
| August 24, 2023 |
EX-1.1 Exhibit 1.1 Execution Version THE CHARLES SCHWAB CORPORATION $1,350,000,000 6.136% Fixed-to-Floating Rate Senior Notes due 2034 $1,000,000,000 5.875% Senior Notes due 2026 UNDERWRITING AGREEMENT August 22, 2023 UNDERWRITING AGREEMENT August 22, 2023 BofA Securities, Inc. Citigroup Global Markets Inc. Goldman Sachs & Co. LLC J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Wells Fargo Sec |
|
| August 24, 2023 |
EX-4.82 Exhibit 4.82 Execution Version THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 6.136% Fixed-to-Floating Rate Senior Notes due 2034 5.875% Senior Notes due 2026 Twenty-Third Supplemental Indenture Dated as of August 24, 2023 to Senior Indenture dated as of June 5, 2009 Table of Contents Page Article I DEFINITIONS AND OTHER PROVISIONS |
|
| August 24, 2023 |
424B5 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 PROSPECTUS SUPPLEMENT (To Prospectus dated December 4, 2020) The Charles Schwab Corporation $1,350,000,000 6.136% Fixed-to-Floating Rate Senior Notes due 2034 $1,000,000,000 5.875% Senior Notes due 2026 This is an offering of $1,350,000,000 aggregate principal amount of 6.136% Fixed-to-Floating Rate Senior Notes due 20 |
|
| August 22, 2023 |
Filed Pursuant to Rule 433 Dated August 22, 2023 Registration Statement: No. 333-251156 The Charles Schwab Corporation $1,350,000,000 6.136% FIXED-TO-FLOATING RATE SENIOR NOTES DUE 2034 $1,000,000,000 5.875% SENIOR NOTES DUE 2026 SUMMARY OF TERMS Issuer: The Charles Schwab Corporation (“CSC”), a Delaware corporation Expected Ratings: (Moody’s / S&P / Fitch)* A2/Stable, A-/Stable, A/Stable Security |
|
| August 22, 2023 |
SUBJECT TO COMPLETION, DATED AUGUST 22, 2023 424B5 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJECT TO COMPLETION, |
|
| August 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 21, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction o |
|
| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPO |
|
| July 18, 2023 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS SECOND QUARTER RESULTS Total Client Assets Exceed $8 Trillion Maintained Strong Profitability With GAAP Pre-Tax Margin of 36.3%; 42.0% Adjusted (1) WESTLAKE, Texas, July 18, 2023 – The Charles Schwab Corporation announced tod |
|
| July 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 18, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| June 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 A. Full title and address of |
|
| May 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissio |
|
| May 19, 2023 |
EX-FILING FEES Exhibit 107 Calculation of registration fee Title of Each Class of Securities Offered Maximum Aggregate Offering Price Amount of Registration Fee(1) 5. |
|
| May 19, 2023 |
EX-4.78 Exhibit 4.78 EXECUTION VERSION THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee Twenty-First Supplemental Indenture Dated as of May 19, 2023 to Senior Indenture Dated as of June 5, 2009 Table of Contents Page ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01 Amendment to Section 1.1 of the Base Indentur |
|
| May 19, 2023 |
EX-1.1 Exhibit 1.1 THE CHARLES SCHWAB CORPORATION $1,200,000,000 5.643% Fixed-to-Floating Rate Senior Notes due 2029 $1,300,000,000 5.853% Fixed-to-Floating Rate Senior Notes due 2034 UNDERWRITING AGREEMENT May 17, 2023 UNDERWRITING AGREEMENT May 17, 2023 BofA Securities, Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC Goldman Sachs & Co. LLC J.P. Morgan Securities LLC Wells |
|
| May 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 17, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of i |
|
| May 19, 2023 |
424B5 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 PROSPECTUS SUPPLEMENT (To Prospectus dated December 4, 2020) The Charles Schwab Corporation $1,200,000,000 5.643% Fixed-to-Floating Rate Senior Notes due 2029 $1,300,000,000 5.853% Fixed-to-Floating Rate Senior Notes due 2034 We will pay interest on the $1,200,000,000 aggregate principal amount of 5.643% Fixed-to-Float |
|
| May 19, 2023 |
EX-4.79 Exhibit 4.79 Execution Version THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 5.643% Fixed-to-Floating Rate Senior Notes due 2029 5.853% Fixed-to-Floating Rate Senior Notes due 2034 Twenty-Second Supplemental Indenture Dated as of May 19, 2023 to Senior Indenture dated as of June 5, 2009 Table of Contents Page Article I DEFINITIONS |
|
| May 18, 2023 |
FWP Filed Pursuant to Rule 433 Dated May 17, 2023 Registration Statement: No. 333-251156 The Charles Schwab Corporation $1,200,000,000 5.643% FIXED-TO-FLOATING RATE SENIOR NOTES DUE 2029 $1,300,000,000 5.853% FIXED-TO-FLOATING RATE SENIOR NOTES DUE 2034 SUMMARY OF TERMS Issuer: The Charles Schwab Corporation (“CSC”), a Delaware corporation Expected Ratings: (Moody’s / S&P / Fitch)* A2 / Stable, A- |
|
| May 17, 2023 |
SUBJECT TO COMPLETION, DATED MAY 17, 2023 424B5 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJECT TO COMPLETION, |
|
| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORP |
|
| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 4, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commission |
|
| May 5, 2023 |
EX-10.1 Exhibit 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN EXCLUDED BECAUSE IT IS NOT MATERIAL AND WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED SECOND AMENDED AND RESTATED INSURED DEPOSIT ACCOUNT AGREEMENT by and among TD BANK USA, NATIONAL ASSOCIATION, TD BANK, NATIONAL ASSOCIATION, THE CHARLES SCHWAB CORPORATION, TD AMERITRADE, INC., TD |
|
| April 17, 2023 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS STRONG FIRST QUARTER RESULTS Client And Business Momentum Continued; Organic Asset Growth Exceeded 7% 10% Year-over-Year Revenue Growth; GAAP Pre-Tax Profit Margin of 41.2%; 45.8% Adjusted (1) WESTLAKE, Texas, April 17, 2023 |
|
| April 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 17, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 6, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissi |
|
| March 31, 2023 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
|
| March 31, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Regis trant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 1 |
|
| February 27, 2023 |
THE CHARLES SCHWAB CORPORATION 2013 STOCK INCENTIVE PLAN NOTICE OF NONQUALIFIED STOCK OPTION GRANT EX-99.16 Exhibit 99.16 THE CHARLES SCHWAB CORPORATION 2013 STOCK INCENTIVE PLAN NOTICE OF NONQUALIFIED STOCK OPTION GRANT You have been granted the following option to purchase common stock (“Shares”) of The Charles Schwab Corporation (“Schwab”) under The Charles Schwab Corporation 2013 Stock Incentive Plan (the “Plan”). A stock option represents the right to purchase Shares at a fixed price, call |
|
| February 27, 2023 |
EX-99.19 Exhibit 99.19 THE CHARLES SCHWAB CORPORATION 2013 STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT GRANT (PERFORMANCE-BASED VESTING) You have been granted Restricted Stock Units. A Restricted Stock Unit represents the right to receive, subject to certain conditions, a share of common stock (a “Share”) of The Charles Schwab Corporation (“Schwab”), under The Charles Schwab Corporation 2 |
|
| February 27, 2023 |
THE CHARLES SCHWAB CORPORATION 2013 STOCK INCENTIVE PLAN NOTICE OF NONQUALIFIED STOCK OPTION GRANT EX-99.18 Exhibit 99.18 THE CHARLES SCHWAB CORPORATION 2013 STOCK INCENTIVE PLAN NOTICE OF NONQUALIFIED STOCK OPTION GRANT You have been granted the following option to purchase common stock (“Shares”) of The Charles Schwab Corporation (“Schwab”) under The Charles Schwab Corporation 2013 Stock Incentive Plan (the “Plan”). A stock option represents the right to purchase Shares at a fixed price, call |
|
| February 27, 2023 |
EX-99.17 Exhibit 99.17 THE CHARLES SCHWAB CORPORATION 2013 STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT GRANT (PERFORMANCE-BASED VESTING) You have been granted Restricted Stock Units. A Restricted Stock Unit represents the right to receive, subject to certain conditions, a share of common stock (a “Share”) of The Charles Schwab Corporation (“Schwab”), under The Charles Schwab Corporation 2 |
|
| February 27, 2023 |
SCHW / Charles Schwab Corp. / SCHWAB CHARLES R - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 21)* The Charles Schwab Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 808513-10-5 (CUSIP Number) Teresa L. Johnson, Esq. Arnold & Porter Kaye Scholer LLP Three Embarcadero Center, Tenth Floor San |
|
| February 24, 2023 |
EXHIBIT 10.407(iii) SECOND AMENDMENT TO AMENDED AND RESTATED INSURED DEPOSIT ACCOUNT AGREEMENT This SECOND AMENDMENT (this “Second Amendment”), dated February 14, 2023 to the Amended and Restated Insured Deposit Account Agreement (the “IDA Agreement”), dated as of November 24, 2019, by and among TD Bank USA, TD Bank, The Charles Schwab Corporation and, pursuant to the Consent, Agreement and Joinde |
|
| February 24, 2023 |
Subsidiaries of the Registrant. THE CHARLES SCHWAB CORPORATION EXHIBIT 21.1 Subsidiaries of the Registrant Pursuant to Item 601 (b)(21)(ii) of Regulation S-K, certain subsidiaries of the Registrant have been omitted which, considered in the aggregate as a single subsidiary, would not constitute a significant subsidiary (as defined in Rule 1-02(w) of Regulation S-X) as of December 31, 2022. Charles Schwab & Co., Inc., a Californi |
|
| February 24, 2023 |
Exhibit 4.11 THE CHARLES SCHWAB CORPORATION DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2022, The Charles Schwab Corporation (“CSC, we, us, and our”) had three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (1) our common stock, (2) our Depositary Shares, Each Representi |
|
| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPORATI |
|
| February 9, 2023 |
SCHW / Schwab Charles Corp / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0560-charlesschwabcorp.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7)* Name of issuer: Charles Schwab Corp. Title of Class of Securities: Common Stock CUSIP Number: 808513105 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to design |
|
| January 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 26, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| January 31, 2023 |
Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF THE CHARLES SCHWAB CORPORATION (January 26, 2023) ARTICLE I OFFICES Section 1.01. Registered Office. The registered office of The Charles Schwab Corporation (the “Corporation”) in the State of Delaware shall be as set forth in the Certificate of Incorporation of the Corporation (as amended and/or restated from time to time, the “Certificate of Incorporati |
|
| January 18, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 18, 2023 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| January 18, 2023 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS RECORD FULL-YEAR EARNINGS PER SHARE Gathered $428 Billion in Annual Core Net New Assets; Added More Than 4 Million New Accounts 2022 Revenues Grew 12% to $20.8 Billion; Earnings per Share Increased to $3.50, $3.90 Adjusted (1 |
|
| December 16, 2022 |
As filed with the Securities and Exchange Commission on December 16, 2022 S-8 As filed with the Securities and Exchange Commission on December 16, 2022 Registration No. |
|
| December 16, 2022 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) The Charles Schwab Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title(1) Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Other Deferred Compensation Obligations 457(h) $200,000,000 100%(2) $200,000,000(2) 0. |
|
| December 2, 2022 |
EXHIBIT 3.1 CERTIFICATE OF ELIMINATION OF THE 4.625% FIXED-TO-FLOATING RATE NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES E OF THE CHARLES SCHWAB CORPORATION (Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware) The Charles Schwab Corporation, a Delaware corporation (the ?Corporation?), hereby certifies as follows: 1.Resolutions were adopted by the Shelf Securitie |
|
| December 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 1, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB |
|
| November 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 1, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| November 2, 2022 |
EXHIBIT 3.1 CERTIFICATE OF ELIMINATION OF THE FIXED-TO-FLOATING RATE NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES A OF THE CHARLES SCHWAB CORPORATION (Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware) The Charles Schwab Corporation, a Delaware corporation (the ?Corporation?), hereby certifies as follows: 1.Resolutions were adopted by the Pricing Committee of t |
|
| October 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 26, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commi |
|
| October 28, 2022 |
THE CHARLES SCHWAB CORPORATION ANNOUNCES APPOINTMENT OF NEW BOARD MEMBER Exhibit 99.1 Contacts: MEDIA Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS Jeff Edwards Charles Schwab Phone: 415-667-1524 THE CHARLES SCHWAB CORPORATION ANNOUNCES APPOINTMENT OF NEW BOARD MEMBER WESTLAKE, TX, October 28, 2022 ? The Charles Schwab Corporation today announced its Board of Directors has approved the appointment of Carrie Schwab-Pomerantz as a director, effectiv |
|
| October 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 18, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| October 17, 2022 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS STRONGEST QUARTERLY PERFORMANCE IN COMPANY HISTORY $115 Billion in Core Net New Assets Represents a 7% Annualized Growth Rate Revenues Rise 20% Year-Over-Year to $5.5 Billion; Net Income Reaches $2.0 Billion, up 32% Record GA |
|
| October 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 17, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPO |
|
| August 3, 2022 |
Exhibit 10.1 The Charles Schwab Corporation COMMON STOCK, PAR VALUE $0.01 PER SHARE REPURCHASE AGREEMENT July 31, 2022 TD Luxembourg International Holdings SARL Repurchase Agreement July 31, 2022 TD LUXEMBOURG INTERNATIONAL HOLDINGS SARL Ladies and Gentlemen: Introductory. The Charles Schwab Corporation, a Delaware corporation (the ?Company?), proposes to repurchase from TD Luxembourg Internationa |
|
| August 3, 2022 |
SCHW / Schwab Charles Corp / TORONTO DOMINION BANK - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* The Charles Schwab Corporation (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 808513105 (CUSIP Number) Jane Langford, Esq. The Toronto-Dominion Bank Toronto-Dominion Centre P.O. Box 1 Toronto, Ontario M5K IA2 (856 |
|
| August 3, 2022 |
Exhibit 4 Repurchase Agreement The Charles Schwab Corporation COMMON STOCK, PAR VALUE $0. |
|
| August 3, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 31, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissi |
|
| July 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 27, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissi |
|
| July 28, 2022 |
Exhibit 99.1 NEWS RELEASE The Charles Schwab Corporation Names CEO Walt Bettinger Co-Chairman of its Board of Directors Bettinger to Share Board Leadership Responsibilities with Charles R. Schwab in Addition to Chief Executive Role July 28, 2022 (WESTLAKE, TEXAS) ? The Charles Schwab Corporation today announced its board of directors has unanimously approved the appointment of Chief Executive Offi |
|
| July 28, 2022 |
Amended and Restated Bylaws of The Charles Schwab Corporation, effective July 27, 2022 Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF THE CHARLES SCHWAB CORPORATION (July 27, 2022) ARTICLE I OFFICES Section 1.01. Registered Office. The registered office of The Charles Schwab Corporation (the ?Corporation?) in the State of Delaware shall be at 1209 Orange Street, Wilmington, Delaware, and the name of the registered agent at that address shall be the Corporation Trust Company. Section 1.0 |
|
| July 18, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 18, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| July 18, 2022 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB?S SECOND QUARTER REVENUES RISE 13% TO SURPASS $5 BILLION Quarterly net income also reaches new highs of $1.8 billion GAAP, $2.0 billion adjusted (1) Sustained client focus helps power continued strong business momentum WESTLAKE, Texa |
|
| June 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 A. Full title and address of |
|
| May 18, 2022 |
As filed with the Securities and Exchange Commission on May 18, 2022 As filed with the Securities and Exchange Commission on May 18, 2022 Registration No. |
|
| May 18, 2022 |
Exhibit 10.1 THE CHARLES SCHWAB CORPORATION 2022 STOCK INCENTIVE PLAN (Adopted by the Board on March 29, 2022) (Approved by Stockholders on May 17, 2022) TABLE OF CONTENTS Page SECTION 1. ESTABLISHMENT AND PURPOSE 1 SECTION 2. ADMINISTRATION 1 (a) Committee Composition 1 (b) Committee Administration 1 (c) Committee Delegation 1 SECTION 3. PARTICIPANTS 2 (a) General Rule 2 (b) Annual Compensation L |
|
| May 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 17, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 1-9700 94-3025021 (State or other jurisdiction of incorporation) (Commissio |
|
| May 18, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) The Charles Schwab Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common stock, par value $0. |
|
| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORP |
|
| April 18, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 18, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| April 18, 2022 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS FIRST QUARTER RESULTS Core Net New Assets Total $120.5 Billion Total Client Assets Finish at $7.86 Trillion, up 11% Year-over-Year WESTLAKE, Texas, April 18, 2022 ? The Charles Schwab Corporation announced today that its net |
|
| April 11, 2022 |
Rationale to vote FOR the Proposal and Rebuttal to Company’s Opposition Statement 1 NAME OF REGISTRANT: CHARLES SCHWAB NAME OF PERSON RELYING ON EXEMPTION: FRIENDS FIDUCIARY CORPORATION ADDRESS OF PERSON RELYING ON EXEMPTION: 1700 MARKET STREET, SUITE 1535, PHILADELPHIA, PA 19103 The proponents are not required by the SEC's rules to file this communication but are doing so voluntarily. |
|
| April 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defini |
|
| April 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
|
| April 1, 2022 |
Proposal Five: Approval of 2022 Stock Incentive Plan Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a |
|
| March 16, 2022 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Table of Contents SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to Section 240. |
|
| March 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware (State or other jurisdiction of incorporati |
|
| March 7, 2022 |
EX-1.2 3 exhibit12.htm EX-1.2 Exhibit 1.2 Execution Version THE CHARLES SCHWAB CORPORATION 750,000 Depositary Shares, Each Representing a 1/100th Interest in a Share of 5.000% Fixed Rate Reset Non-Cumulative Perpetual Preferred Stock, Series K UNDERWRITING AGREEMENT March 2, 2022 UNDERWRITING AGREEMENT March 2, 2022 BofA Securities, Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) |
|
| March 7, 2022 |
Exhibit 4.74 THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee Floating Rate Senior Notes due 2027 2.450% Senior Notes due 2027 2.900% Senior Notes due 2032 Twentieth Supplemental Indenture Dated as of March 3, 2022 to Senior Indenture dated as of June 5, 2009 Table of Contents Page ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLIC |
|
| March 7, 2022 |
Exhibit 1.1 Execution Version THE CHARLES SCHWAB CORPORATION $1,500,000,000 2.450% Senior Notes due 2027 $500,000,000 Floating Rate Senior Notes due 2027 $1,000,000,000 2.900% Senior Notes due 2032 UNDERWRITING AGREEMENT March 1, 2022 UNDERWRITING AGREEMENT March 1, 2022 BofA Securities, Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC J.P. Morgan Securities LLC Morgan Stanley |
|
| March 7, 2022 |
Exhibit 4.1 DEPOSIT AGREEMENT among The Charles Schwab Corporation, as Issuer Equiniti Trust Company as Depositary, and THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN Dated as of March 4, 2022 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS 1 Section 1.1. Definitions 1 ARTICLE II FORM OF RECEIPTS, DEPOSIT OF STOCK, EXECUTION AND DELIVERY, TRANSFER, SURRENDER AND REDEMPTIO |
|
| March 7, 2022 |
Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF 5.000% FIXED-RATE RESET NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES K OF THE CHARLES SCHWAB CORPORATION Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE CHARLES SCHWAB CORPORATION, a Delaware corporation (the ?Corporation?), HEREBY CERTIFIES that the following resolution was duly adopted by a duly authorized committ |
|
| March 3, 2022 |
Filed Pursuant to Rule 433 Dated March 2, 2022 Registration Statement: No. 333-251156 THE CHARLES SCHWAB CORPORATION 750,000 DEPOSITARY SHARES, EACH REPRESENTING A 1/100th INTEREST IN A SHARE OF 5.000% FIXED-RATE RESET NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES K (liquidation preference $100,000 per share (equivalent to $1,000 per depositary share)) SUMMARY OF TERMS Issuer: The Charles Schwa |
|
| March 3, 2022 |
Filed Pursuant to Rule 433 Dated March 1, 2022 Registration Statement: No. 333-251156 Explanatory Note: This Rule 433 filing is being submitted solely to correct typographical errors in certain dates in the Optional Redemption Make Whole Call (marked with a dagger) and supersedes the previously submitted Rule 433 filing. The Charles Schwab Corporation $500,000,000 FLOATING RATE SENIOR NOTES DUE 20 |
|
| March 3, 2022 |
Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 PROSPECTUS SUPPLEMENT (To Prospectus dated December 4, 2020) The Charles Schwab Corporation $500,000,000 Floating Rate Senior Notes due 2027 $1,500,000,000 2.450% Senior Notes due 2027 $1,000,000,000 2.900% Senior Notes due 2032 This is an offering of $500,000,000 aggregate principal amount of Floating Rate Senior Notes due |
|
| March 3, 2022 |
Exhibit 107 Calculation of registration fee Title of Each Class of Securities Offered Maximum Aggregate Offering Price Amount of Registration Fee(1) Floating Rate Notes due 2027 $ 500,000,000 $ 46,350 2. |
|
| March 3, 2022 |
Exhibit 107.1 CALCULATION OF REGISTRATION FEE Class of Securities Offered Maximum Aggregate Offering Price Amount of Registration Fee(1) Depositary Shares, Each Representing a 1/100th Interest in a Share of 5.000% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series K $ 750,000,000 $ 69,525 (1) The filing fee of $69,525 is calculated in accordance with Rule 457(r) of the Securities Ac |
|
| March 3, 2022 |
Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 PROSPECTUS SUPPLEMENT (To Prospectus dated December 4, 2020) The Charles Schwab Corporation 750,000 Depositary Shares, Each Representing a 1/100th Interest in a Share of 5.000% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series K We are offering 750,000 depositary shares, each representing a 1/100th ownership |
|
| March 2, 2022 |
SUBJECT TO COMPLETION, DATED MARCH 2, 2022 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus is not an offer to sell these securities, and it is not soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. |
|
| March 2, 2022 |
Filed Pursuant to Rule 433 Dated March 1, 2022 Registration Statement: No. 333-251156 The Charles Schwab Corporation $500,000,000 FLOATING RATE SENIOR NOTES DUE 2027 $1,500,000,000 2.450% SENIOR NOTES DUE 2027 $1,000,000,000 2.900% SENIOR NOTES DUE 2032 SUMMARY OF TERMS Issuer: The Charles Schwab Corporation (?CSC?), a Delaware corporation Expected Ratings: (Moody?s / S&P / Fitch)* A2 / Stable, A |
|
| March 1, 2022 |
SUBJECT TO COMPLETION, DATED MARCH 1, 2022 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJECT TO COMPLETION, DATED |
|
| February 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPORATI |
|
| February 24, 2022 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. Exhibit 4.10 THE CHARLES SCHWAB CORPORATION DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2021, The Charles Schwab Corporation (?CSC, we, us, and our?) had three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: (1) our common stock, (2) our Depositary Shares, Each Representi |
|
| February 24, 2022 |
EXHIBIT 10.426 THE CHARLES SCHWAB CORPORATION [2013 STOCK INCENTIVE PLAN] NOTICE OF RESTRICTED STOCK UNIT GRANT You have been granted Restricted Stock Units. A Restricted Stock Unit represents the right to receive, subject to certain conditions, a share of common stock (a ?Share?) of The Charles Schwab Corporation (?Schwab?) under [The Charles Schwab Corporation 2013 Stock Incentive Plan] (the ?Pl |
|
| February 24, 2022 |
Exhibit 10.407(ii) CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN EXCLUDED BECAUSE IT IS NOT MATERIAL AND WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED AMENDMENT TO AMENDED AND RESTATED INSURED DEPOSIT ACCOUNT AGREEMENT This AMENDMENT (this ?Amendment?), dated November 24, 2021, to the Amended and Restated Insured Deposit Account Agreement (the ?ID |
|
| February 24, 2022 |
Subsidiaries of the Registrant. THE CHARLES SCHWAB CORPORATION EXHIBIT 21.1 Subsidiaries of the Registrant Pursuant to Item 601 (b)(21)(ii) of Regulation S-K, certain subsidiaries of the Registrant have been omitted which, considered in the aggregate as a single subsidiary, would not constitute a significant subsidiary (as defined in Rule 1-02(w) of Regulation S-X) as of December 31, 2021. Charles Schwab & Co., Inc., a Californi |
|
| February 24, 2022 |
Exhibit 10.428 SUMMARY OF NON-EMPLOYEE DIRECTOR COMPENSATION On December 9, 2021, the Board of Directors (Board) approved increases to annual cash retainers for committee chairs and members effective January 1, 2022. They also approved an increase in the annual equity grant portion of the non-employee director compensation program, subject to stockholder approval at the 2022 Annual Meeting of Stoc |
|
| February 24, 2022 |
EX-10.427 5 schw-12312021xex1042710k.htm EX-10.427 EXHIBIT 10.427 THE CHARLES SCHWAB CORPORATION [2013 STOCK INCENTIVE PLAN] NOTICE OF RESTRICTED STOCK UNIT GRANT (RETENTION RSU AGREEMENT) You have been granted Restricted Stock Units. A Restricted Stock Unit represents the right to receive, subject to certain conditions, a share of common stock (a “Share”) of The Charles Schwab Corporation (“Schwa |
|
| February 9, 2022 |
SCHW / Schwab Charles Corp / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* Name of issuer: Charles Schwab Corp. Title of Class of Securities: Common Stock CUSIP Number: 808513105 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
|
| January 18, 2022 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS RECORD QUARTERLY AND FULL-YEAR EARNINGS PER SHARE Quarterly and Annual Core Net New Assets Total $162.2 Billion and $558.2 Billion, Both Records Total Client Assets Reach a Record $8.14 Trillion at Year-end, up 22% Versus Dec |
|
| January 18, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 18, 2022 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| November 15, 2021 |
November 15, 2021 Securities and Exchange Commission Division of Corporation Finance 100 F Street NE Washington, D. |
|
| November 8, 2021 |
EXHIBIT 10.425 THIRD AMENDMENT THIRD AMENDMENT, dated as of September 27, 2021 (the ?Amendment?), to the Credit Agreement, dated as of April 21, 2017 (as amended, restated, supplemented or otherwise modified prior to the date hereof, and as further amended, restated, supplemented or otherwise modified from time to time, the ?Credit Agreement?), among TD AMERITRADE CLEARING, INC., a Nebraska corpor |
|
| November 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB |
|
| October 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 25, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| October 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 11, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| October 15, 2021 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS RECORD QUARTERLY EARNINGS PER SHARE Core Net New Assets Rise 28% Sequentially to $139.0 Billion, a Third Quarter Record Total Client Assets Reach $7.61 Trillion, up 14% Year-to-Date WESTLAKE, Texas, October 15, 2021 ? The Cha |
|
| October 15, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 15, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction |
|
| October 6, 2021 |
October 6, 2021 Securities and Exchange Commission Division of Corporation Finance 100 F Street NE Washington, D. |
|
| September 24, 2021 |
The Charles Schwab Corporation Debt Securities Filed Pursuant to Rule 424(b)(3) Registration No. 333-251156 PROSPECTUS ADDENDUM (To Prospectus dated December 4, 2020) The Charles Schwab Corporation Debt Securities Charles Schwab & Co., Inc. will, and other affiliates of The Charles Schwab Corporation may, use this prospectus addendum and the prospectus dated December 4, 2020 in connection with market-making transactions of debt securities that |
|
| September 24, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 24, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdictio |
|
| September 24, 2021 |
Exhibit 4.68 THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 3.750% Senior Notes due 2024 3.625% Senior Notes due 2025 3.300% Senior Notes due 2027 2.750% Senior Notes due 2029 Nineteenth Supplemental Indenture Dated as of September 24, 2021 to Senior Indenture dated as of June 5, 2009 Table of Contents Page ARTICLE I DEFINITIONS AND OTHER |
|
| September 24, 2021 |
Exhibit 4.73 Eighth Supplemental Indenture Dated as of September 17, 2021 TD AMERITRADE HOLDING CORPORATION, as Issuer and US BANK NATIONAL ASSOCIATION, as Trustee 3.750% Senior Notes due 2024 3.625% Senior Notes due 2025 3.300% Senior Notes due 2027 2.750% Senior Notes due 2029 THIS EIGHTH SUPPLEMENTAL INDENTURE (the ?Eighth Supplemental Indenture?), dated as of September 17, 2021, is among TD AM |
|
| September 13, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-259030 PROSPECTUS The Charles Schwab Corporation Offers to Exchange All Outstanding Notes of TD Ameritrade Holding Corporation of the Series Specified Below and Solicitation of Consents to Amend the Related Indentures Early Participation Date: 5:00 p.m., New York City Time, September 7, 2021 Expiration Date: 8:00 a.m., New Yor |
|
| September 10, 2021 |
Exhibit 99.2 Canadian Certification Form TO BE COMPLETED BY REGISTERED HOLDERS OF OLD U.S. NOTES THAT ARE CANADIAN RESIDENTS AND BY REGISTERED HOLDERS HOLDING OLD U.S. NOTES ON BEHALF OF BENEFICIAL OWNERS THAT ARE CANADIAN RESIDENTS (See Instruction 6) One copy of this Canadian Certification Form must be completed for each beneficial owner that is a Canadian resident. Information relating to Canad |
|
| September 10, 2021 |
September 10, 2021 VIA EDGAR Division of Corporation Finance Office of Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-3628 Attention: David Lin Re: The Charles Schwab Corporation Registration Statement on Form S-4 File No. 333-259030 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended, The Charles Schwab Corporation, a |
|
| September 10, 2021 |
As Filed with the Securities and Exchange Commission on September 10, 2021 Table of Contents As Filed with the Securities and Exchange Commission on September 10, 2021 Registration No. |
|
| September 10, 2021 |
Form of Letter of Transmittal and Consent Exhibit 99.1 THE CHARLES SCHWAB CORPORATION LETTER OF TRANSMITTAL AND CONSENT Offers to Exchange All Outstanding Notes of the Series Specified Below Issued by TD Ameritrade Holding Corporation (?TDA Holding?) For The Corresponding Series of Notes Issued by The Charles Schwab Corporation (?CSC?) And Solicitation of Consents to Amend the Related Indentures Early Participation Date: 5:00 p.m., New Yo |
|
| August 26, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 26, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction o |
|
| August 26, 2021 |
Exhibit 4.66 THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 1.950% Senior Notes due 2031 Eighteenth Supplemental Indenture Dated as of August 26, 2021 to Senior Indenture dated as of June 5, 2009 Table of Contents Page ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01 Definitions 1 Section 1.02 Conflicts with |
|
| August 26, 2021 |
Exhibit 1.1 Execution Version THE CHARLES SCHWAB CORPORATION $850,000,000 1.950% Senior Notes due 2031 UNDERWRITING AGREEMENT August 24, 2021 UNDERWRITING AGREEMENT August 24, 2021 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC J.P. Morgan Securities LLC Wells Fargo Securities, LLC as Representatives of the several Underwriters named in Schedule A hereto c/o Citigroup Global Mark |
|
| August 25, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-251156 Calculation of registration fee Title of Each Class of Securities Offered Maximum Aggregate Offering Price Amount of Registration Fee(1) 1.950% Senior Notes due 2031 $850,000,000 $92,735 (1) The filing fee is calculated in accordance with Rule 457(r) of the Securities Act of 1933, as amended. Table of Contents PROSPECTU |
|
| August 24, 2021 |
Exhibit 4.12 THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 3.750% Senior Notes due 2024 3.625% Senior Notes due 2025 3.300% Senior Notes due 2027 2.750% Senior Notes due 2029 Form of Nineteenth Supplemental Indenture Dated as of [?], 2021 to Senior Indenture dated as of June 5, 2009 Table of Contents Page ARTICLE I DEFINITIONS AND OTHER P |
|
| August 24, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction o |
|
| August 24, 2021 |
Page 1 of 4 Exhibit 99.1 Contacts: MEDIA INVESTORS/ANALYSTS Mayura Hooper Jeff Edwards Charles Schwab Charles Schwab Phone: 415-667-1525 Phone: 415-667-1524 The Charles Schwab Corporation Commences Offers to Exchange Four Series of Notes Issued by TD Ameritrade Holding Corporation for Schwab Notes WESTLAKE, Texas, August 24, 2021 ? The Charles Schwab Corporation (?CSC?) today announced the commenc |
|
| August 24, 2021 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) | | THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (Exact name of trustee as specified in its charter) ( |
|
| August 24, 2021 |
Powers of Attorney (included on the signature page). Table of Contents As Filed with the Securities and Exchange Commission on August 24, 2021 Registration No. |
|
| August 24, 2021 |
Exhibit 99.2 Canadian Certification Form TO BE COMPLETED BY REGISTERED HOLDERS OF OLD U.S. NOTES THAT ARE CANADIAN RESIDENTS AND BY REGISTERED HOLDERS HOLDING OLD U.S. NOTES ON BEHALF OF BENEFICIAL OWNERS THAT ARE CANADIAN RESIDENTS (See Instruction 6) One copy of this Canadian Certification Form must be completed for each beneficial owner that is a Canadian resident. Information relating to Canad |
|
| August 24, 2021 |
FWP 1 d111426dfwp.htm FWP Filed Pursuant to Rule 433 Dated August 24, 2021 Registration Statement: No. 333-251156 The Charles Schwab Corporation $850,000,000 1.950% SENIOR NOTES DUE 2031 (the “Senior Notes”) SUMMARY OF TERMS Issuer: The Charles Schwab Corporation (“CSC”), a Delaware corporation Expected Ratings: (Moody’s / S&P / Fitch)* A2 (Stable) / A (Stable) / A (Stable) Security Type: Senior U |
|
| August 24, 2021 |
Form of Letter of Transmittal and Consent Exhibit 99.1 THE CHARLES SCHWAB CORPORATION LETTER OF TRANSMITTAL AND CONSENT Offers to Exchange All Outstanding Notes of the Series Specified Below Issued by TD Ameritrade Holding Corporation (?TDA Holding?) For The Corresponding Series of Notes Issued by The Charles Schwab Corporation (?CSC?) And Solicitation of Consents to Amend the Related Indentures Early Participation Date: 5:00 p.m., New Yo |
|
| August 24, 2021 |
SUBJECT TO COMPLETION, DATED AUGUST 24, 2021 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJECT TO COMPLETION, DATED |
|
| August 24, 2021 |
Exhibit 4.13 Form of Eighth Supplemental Indenture Dated as of [?], 2021 TD AMERITRADE HOLDING CORPORATION, as Issuer and US BANK NATIONAL ASSOCIATION, as Trustee 3.750% Senior Notes due 2024 3.625% Senior Notes due 2025 3.300% Senior Notes due 2027 2.750% Senior Notes due 2029 THIS EIGHTH SUPPLEMENTAL INDENTURE (the ?Eighth Supplemental Indenture?), dated as of [?], 2021, is among TD AMERITRADE H |
|
| August 6, 2021 |
Exhibit 10.424 THE CHARLES SCHWAB SEVERANCE PAY PLAN (As Amended and Restated Effective June 21, 2021) TABLE OF CONTENTS ARTICLE 1 - PURPOSE OF PLAN 1 ARTICLE 2 - DEFINITIONS 1 ARTICLE 3 ? PARTICIPATION 7 3.1. Commencement of Participation 7 3.2 Termination of Participation 7 ARTICLE 4 - EFFECT ON OTHER BENEFITS 8 4.1. Eligibility for Benefits 8 4.2 Paid Time Off Benefits 8 ARTICLE 5 - NOTICE PERI |
|
| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORPO |
|
| July 16, 2021 |
EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS SECOND QUARTER RESULTS Core Net New Assets Total $108.8 Billion, a Second Quarter Record Client Assets Reach a Record $7.57 Trillion WESTLAKE, Texas, July 16, 2021 ? The Charles Schwab Corporation announced today that its net |
|
| July 16, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 16, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| July 2, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 1, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of i |
|
| June 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 A. Full title and address of |
|
| June 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 1, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of i |
|
| June 2, 2021 |
6.00% Non-Cumulative Perpetual Preferred Stock, Series C, EX-3.1 2 schw-2021ex3.htm EX-3.1 EXHIBIT 3.1 CERTIFICATE OF ELIMINATION OF THE 6.00% NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES C OF THE CHARLES SCHWAB CORPORATION (Pursuant to Section 151(g) of the General Corporation Law of the State of Delaware) The Charles Schwab Corporation, a Delaware corporation (the “Corporation”), hereby certifies as follows: 1. Resolutions were adopted by the Prici |
|
| June 1, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on June 14, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
|
| May 28, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 28, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of i |
|
| May 28, 2021 |
Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered(1)(2) Proposed Maximum Offering Price Per Share(3) Proposed Maximum Aggregate Offering Price(3) Amount of Registration Fee(3) Common stock, par value $0.01 per share 545,368 shares $25.81 $14,075,949 $1,536 (1) Pursuant |
|
| May 18, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 13, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of i |
|
| May 13, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of i |
|
| May 13, 2021 |
Exhibit 1.1 Execution Version THE CHARLES SCHWAB CORPORATION $1,000,000,000 1.150% Senior Notes due 2026 $500,000,000 Floating Rate Senior Notes due 2026 $750,000,000 2.300% Senior Notes due 2031 UNDERWRITING AGREEMENT May 11, 2021 UNDERWRITING AGREEMENT May 11, 2021 BofA Securities, Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC J.P. Morgan Securities LLC Morgan Stanley & C |
|
| May 13, 2021 |
Exhibit 4.62 THE CHARLES SCHWAB CORPORATION, as Issuer and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee Floating Rate Senior Notes due 2026 1.150% Senior Notes due 2026 2.300% Senior Notes due 2031 Seventeenth Supplemental Indenture Dated as of May 13, 2021 to Senior Indenture dated as of June 5, 2009 Table of Contents Page ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLI |
|
| May 12, 2021 |
Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 Calculation of registration fee Title of Each Class of Securities Offered Maximum Aggregate Offering Price Amount of Registration Fee(1) Floating Rate Notes due 2026 $500,000,000 $54,550 1.150% Senior Notes due 2026 $1,000,000,000 $109,100 2.300% Senior Notes due 2031 $750,000,000 $81,825 Total $2,250,000,000 $245,475 (1) Th |
|
| May 12, 2021 |
FWP Filed Pursuant to Rule 433 Dated May 11, 2021 Registration Statement: No. 333-251156 The Charles Schwab Corporation $500,000,000 FLOATING RATE SENIOR NOTES DUE 2026 $1,000,000,000 1.150% SENIOR NOTES DUE 2026 $750,000,000 2.300% SENIOR NOTES DUE 2031 SUMMARY OF TERMS Issuer: The Charles Schwab Corporation (“CSC”), a Delaware corporation Expected Ratings: (Moody’s / S&P / Fitch)* A2 (Stable) / |
|
| May 11, 2021 |
SUBJECT TO COMPLETION, DATED MAY 11, 2021 424B5 Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 The information in this preliminary prospectus supplement is not complete and may be changed. Neither this preliminary prospectus supplement nor the accompanying prospectus is an offer to sell nor is it an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. SUBJECT TO COMPLETION, |
|
| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-9700 THE CHARLES SCHWAB CORP |
|
| April 15, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 15, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| April 15, 2021 |
EX-99.1 2 a1q21exhibit991033121.htm EX-99.1 EXHIBIT 99.1 News Release Contacts: MEDIA: Mayura Hooper Charles Schwab Phone: 415-667-1525 INVESTORS/ANALYSTS: Jeff Edwards Charles Schwab Phone: 415-667-1524 SCHWAB REPORTS RECORD FIRST QUARTER EARNINGS PER SHARE Unprecedented Client Engagement Included $148.2 Billion in Core Net New Assets, 3.2 Million New Brokerage Accounts and 8.4 Million Daily Aver |
|
| April 9, 2021 |
NAME OF REGISTRANT: CHARLES SCHWAB NAME OF PERSON RELYING ON EXEMPTION: FRIENDS FIDUCIARY CORPORATION ADDRESS OF PERSON RELYING ON EXEMPTION: 1700 MARKET STREET, SUITE 1535, PHILADELPHIA, PA 19103 April 9, 2021 To Charles Schwab Corporation Stockholders: Friends Fiduciary Corporation seeks your support for Proposal #4 at the stockholder meeting on May 13, 2021. |
|
| April 2, 2021 |
Table of Contents SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to Section 240. |
|
| March 31, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Delaware 94-3025021 (State of incorporation or organization) (I.R.S. Employer Identification No.) 3000 Schwab W |
|
| March 30, 2021 |
Exhibit 4.1 DEPOSIT AGREEMENT among The Charles Schwab Corporation, as Issuer Equiniti Trust Company as Depositary, and THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN Dated as of March 30, 2021 TABLE OF CONTENTS Page ARTICLE I DEFINED TERMS 1 Section 1.1. Definitions 1 ARTICLE II FORM OF RECEIPTS, DEPOSIT OF STOCK, EXECUTION AND DELIVERY, TRANSFER,SURRENDER AND REDEMPTIO |
|
| March 30, 2021 |
Exhibit 1.1 Execution Version THE CHARLES SCHWAB CORPORATION 24,000,000 Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.450% Non- Cumulative Perpetual Preferred Stock, Series J UNDERWRITING AGREEMENT MARCH 23, 2021 UNDERWRITING AGREEMENT March 23, 2021 BofA Securities, Inc. Credit Suisse Securities (USA) LLC J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Wells Fargo Sec |
|
| March 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2021 The Charles Schwab Corporation (Exact name of registrant as specified in its charter) Commission File Number: 1-9700 Delaware 94-3025021 (State or other jurisdiction of |
|
| March 30, 2021 |
Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF 4.450% NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES J OF THE CHARLES SCHWAB CORPORATION Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE CHARLES SCHWAB CORPORATION, a Delaware corporation (the ?Corporation?), HEREBY CERTIFIES that the following resolution was duly adopted by a duly authorized committee (the ?Shelf Se |
|
| March 24, 2021 |
Table of Contents Filed Pursuant to 424(b)(5) Registration No. 333-251156 CALCULATION OF REGISTRATION FEE Class of Securities Offered Maximum Aggregate Offering Price Amount of Registration Fee(1) Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.450% Non-Cumulative Perpetual Preferred Stock, Series J $600,000,000 $65,460 (1) The filing fee of $65,460 is calculated in accordan |
|
| March 23, 2021 |
Filed Pursuant to Rule 433 Dated March 23, 2021 Registration Statement: No. 333-251156 The Charles Schwab Corporation 24,000,000 DEPOSITARY SHARES, EACH REPRESENTING A 1/40th INTEREST IN A SHARE OF 4.450% NON-CUMULATIVE PERPETUAL PREFERRED STOCK, SERIES J (liquidation preference $1,000 per share (equivalent to $25 per depositary share)) SUMMARY OF TERMS Issuer: The Charles Schwab Corporation Secur |
