Welcome to our dedicated page for Schwab (CHARLES) (The) SEC filings (Ticker: SCHW), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Charles Schwab Corporation (NYSE: SCHW) files a range of documents with the U.S. Securities and Exchange Commission that provide detailed information about its financial condition, capital structure, and material events. This page aggregates Schwab’s SEC filings and pairs them with AI-powered summaries to help readers understand the key points in lengthy regulatory documents.
For Schwab, core filings include annual reports on Form 10-K and quarterly reports on Form 10-Q, which describe its brokerage, banking, asset management, custody, and financial advisory operations, along with risk factors, management’s discussion and analysis, and segment information. Current reports on Form 8-K disclose specific events, such as quarterly earnings releases, the issuance of senior notes under a shelf registration statement, and definitive agreements for acquisitions like the announced agreement to acquire Forge Global Holdings, Inc.
Schwab also maintains registration statements, such as its Form S-3 shelf registration used for offerings of senior notes and other securities, and exhibits that include underwriting agreements, indentures, supplemental indentures, and legal opinions. Filings related to its listed securities cover its common stock and depositary shares representing interests in preferred stock series that trade on the New York Stock Exchange.
On this page, users can quickly access new and historical filings, including 10-K and 10-Q reports, 8-K current reports, and other registration and exhibit documents. AI-generated overviews highlight important disclosures, summarize complex capital markets transactions, and clarify technical language, while links to Form 4 and other ownership reports make it easier to review insider transactions and equity awards. Real-time updates from EDGAR ensure that investors, analysts, and researchers can review Schwab’s regulatory history and recent disclosures in one organized location.
Charles R. Schwab, Co‑Chairman and director of Charles Schwab Corp, reported indirect sales and a gift of company common stock. On February 9, 2026, a trust associated with him made a bona fide gift of 60,000 shares at $0, leaving 55,722,729 shares held indirectly by that trust.
Also on February 9, a limited partnership associated with him sold 126,200 shares at a weighted average price of $106.5495, with 30,515,781 shares remaining indirectly held by the partnership. On February 10, 2026, the same partnership sold an additional 32,413 shares at a weighted average price of $105.5774, leaving 30,483,368 shares indirectly held.
The filing also reports indirect holdings of 44,025 shares through 188 Corp and 9,509,797.33 shares held by his spouse as trustee, with no transaction codes indicated for these positions.
Charles Schwab Co-Chairman Walter W. Bettinger reported option exercises and related share sales on February 6, 2026. A nonqualified stock option to buy 67,514 shares at $42.99 per share was exercised and fully exhausted.
The same 67,514 shares of common stock, held indirectly through a family trust, were sold at a weighted average price of $104.2521, leaving the trust with 529,346 shares. Additional indirect holdings include shares held through an ESPP, ESOP, and by the spouse, including as trustee.
Charles Schwab director Christopher V. Dodds, through a trust, reported option exercises and a share sale in Charles Schwab Corp. common stock. On February 6, 2026, a trust associated with him acquired 4,390 shares at
The trust then sold 11,825 common shares at a weighted average price of
Charles R. Schwab filed a notice of intent to sell 32,413 shares of The Charles Schwab Corporation common stock. The planned sale through The Charles Schwab Corporation as broker is listed with an aggregate market value of $3,422,080.27, on the NYSE around 02/10/2026.
The filing states that 32,413 common shares were originally acquired from the issuer on 03/31/1987 in a leveraged buyout. Shares of common stock outstanding were 1,776,936,770 as of the data shown, providing scale versus the company’s total equity base.
Over the prior three months, the notice lists several separate sales of the issuer’s common stock for the account of Charles R. Schwab, including 134,895 shares on 01/26/2026 for gross proceeds of $13,905,834.00 and 146,560 shares on 01/29/2026 for gross proceeds of $15,119,854.00. The signer represents he is not aware of undisclosed material adverse information about the issuer’s current or prospective operations.
Schwab executive Howard Dennis, MD and Chief Technology, Operations & Data Officer, filed an initial ownership report as of January 29, 2026. He beneficially owns restricted stock units representing 10,470 shares of common stock granted under the 2022 Stock Incentive Plan, vesting in three equal annual installments beginning August 1, 2026.
The filing also lists several nonqualified stock options to buy Schwab common stock, including grants for 111,903 shares at $64.10 per share expiring March 1, 2031, and additional options for 35,779–54,720 shares with exercise prices between $66.47 and $78.12, expiring from 2032 through 2035, all held directly.
Charles R. Schwab filed a Rule 144 notice to sell 126,200 shares of The Charles Schwab Corporation common stock, with an aggregate market value of $13,446,547.00. The planned sale is through The Charles Schwab Corporation as broker on or about February 9, 2026 on the NYSE.
The filing also lists prior sales of common shares over the past three months by Charles R. Schwab, including 134,895 shares on January 26, 2026 for gross proceeds of $13,905,834.00 and 146,560 shares on January 29, 2026 for $15,119,854.00.
A person associated with The Charles Schwab Corporation has filed a notice of proposed sale under Rule 144 for 11,825 shares of the company’s common stock. The sale is to be executed through The Charles Schwab Corporation as broker on or about 02/06/2026 on the NYSE, with an aggregate market value of $1,236,314.00. These 11,825 shares of common stock were acquired from the issuer on 02/06/2026 via a stock option transaction. The notice also reports that 1,776,936,770 shares of the issuer’s common stock were outstanding.
Charles Schwab Co-Chairman Charles R. Schwab reported indirect share sales in Charles Schwab Corporation common stock through a trust. On 02/03/2026, a trust associated with him sold 96,625 shares at a weighted average price of $103.7364 per share. On 02/04/2026, the same trust sold 67,975 shares at a weighted average price of $103.8091 per share.
After these sales, the trust held 55,782,729 shares. The filing also lists additional indirect holdings, including 30,641,981 shares held by a limited partnership, 44,025 shares held by 188 Corp, and 9,509,797.33 shares held by his spouse as trustee.
Charles Schwab Co-Chairman Walter W. Bettinger reported option exercises and related stock sales through a family trust. On February 3, 2026, nonqualified stock options with a $42.99 exercise price for 162,462 shares were exercised, followed by family trust sales of 141,033 and 21,429 common shares at weighted average prices of $103.8485 and $104.2429.
On February 4, 2026, additional options for 94,948 shares at $42.99 were exercised and the same number of shares were sold by the family trust at a weighted average price of $104.252. After these transactions, the family trust held 529,346 Schwab common shares, with further indirect holdings reported through an ESPP, ESOP, and spouse-related accounts.
The Charles Schwab Corporation shareholder Charles R. Schwab has filed a Rule 144 notice to sell common stock. The filing covers 71,975 common shares to be sold through The Charles Schwab Corporation as broker on the NYSE, with an aggregate market value of
The shares to be sold were originally acquired in a leveraged buyout transaction from the issuer on