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 filings document the regulatory record of a financial services company with brokerage, banking, asset management, custody, wealth management, and advisory operations. Its 8-K reports cover quarterly results, Regulation FD disclosures, completed acquisition activity, executive appointments, senior note issuances, preferred stock offerings, and modifications to securityholder rights.
Schwab’s SEC materials also identify its listed common stock and preferred depositary shares, including series-specific preferred stock designations and dividend or redemption mechanics. Proxy filings describe annual meeting matters, board and governance practices, executive compensation, and stockholder voting items, while securities offering documents and related exhibits provide terms for debt and preferred capital instruments.
SCHWAB CHARLES CORP reports initial holdings for MD, Chief Banking Officer Tyler A. Woulfe. The position includes 4,018 shares of common stock in the form of restricted stock units that vest in four equal annual installments beginning on the first anniversary of the grant date. Woulfe also holds a nonqualified stock option for 9,666 underlying shares of common stock at an exercise price of $95.49 per share, vesting in four equal annual installments and expiring on March 2, 2036.
SCHWAB CHARLES CORP officer Neesha Hathi filed an initial ownership report showing indirect holdings of 5,770 shares of Common Stock held by a trust. She also reports several nonqualified stock options to acquire Common Stock, with exercise prices ranging from $41.98 to $95.49 per share and expiration dates between 2028 and 2036. The options were granted under the company’s 2013 and 2022 Stock Incentive Plans and vest in four equal annual installments beginning on the first anniversary of each grant.
Charles Schwab Corporation executive Jonathan M. Craig, MD and Head of Retail Investing, exercised nonqualified stock options for 21,750 shares of common stock at $46.81 per share and contributed the shares to a revocable trust. On the same July 7, 2026 date, the trust executed an open-market sale of 21,750 shares at a weighted-average price of $102.0102 per share under a pre-arranged Rule 10b5-1 trading plan. Following the option exercise, 43,616 options remain outstanding and will expire on March 1, 2029.
Schwab Charles Corp executive Jonathan S. Beatty, MD and Head of Advisor Services, reported an open-market sale of 2,000 shares of Common Stock at a weighted average price of $102.0089 through a trust. The sale was made under a pre-arranged Rule 10b5-1 trading plan. After the transaction, the trust holds 13,738 shares, and Beatty also holds 32,459 shares directly, indicating he retains a sizable position.
Ellis Stephen A reported acquisition or exercise transactions in this Form 4 filing.
Schwab Charles Corp director Stephen A. Ellis received a grant of 379 restricted stock units on July 1, 2026. Each RSU represents the right to receive one share of company common stock. The units were granted under the Directors' Deferred Compensation Plan II in lieu of cash director fees and are held in a rabbi trust for his benefit.
The RSUs will be distributed to him when he leaves the Board of Directors. Following this award and prior accruals, Ellis holds a total of 13,276.46 RSUs, including 45.48 units accumulated through dividend reinvestment.
HERRINGER FRANK C reported acquisition or exercise transactions in this Form 4 filing.
Schwab Charles Corp director Frank C. Herringer received a grant of 457 restricted stock units (RSUs) linked to the company’s common stock. These RSUs were awarded as director compensation in lieu of cash fees under the Directors' Deferred Compensation Plan II.
The RSUs are held in a rabbi trust for his benefit and will be distributed when he leaves the Board of Directors. Following this award, his directly held RSU balance is 152,751.26 units, including 537.02 RSUs that were accumulated through dividend reinvestment. The filing reflects compensation, not an open-market stock purchase or sale.
Schwab Charles Corp director Charles A. Ruffel received a grant of nonqualified stock options covering 1,280 shares of common stock. The options have an exercise price of $95.78 per share, vested immediately, and expire on July 1, 2036. According to the disclosure, the options were issued under the Directors' Deferred Compensation Plan II in lieu of cash director fees, leaving Ruffel with 1,280 options following this transaction.
Brown Marianne Catherine reported acquisition or exercise transactions in this Form 4 filing.
Schwab Charles Corp director Marianne Catherine Brown received a grant of 418 restricted stock units (RSUs) tied to company common stock. Each RSU represents the right to receive one share of stock. After this award, she holds a total of 8,269.36 RSUs.
The RSUs were granted under the Directors' Deferred Compensation Plan II and are held in a rabbi trust for her benefit. They were received in lieu of cash director fees and will be distributed when she leaves the Board, making this a non-cash, compensation-related award rather than an open-market stock purchase or sale.
Schwab executive Jonathan S. Beatty reported recent stock transactions involving Charles Schwab common stock. A trust associated with him sold 2,000 shares on July 2, 2026 at an average price of $97.0297 and another 2,000 shares on July 6, 2026 at $100.0074, leaving the trust holding 15,738 shares.
Separately, 1,036 directly held shares were withheld on July 1, 2026 to cover taxes upon settlement of restricted stock units granted on July 1, 2024, and this was not an open-market sale. After this tax-withholding disposition, he directly held 32,459 shares. The sales were executed under a pre-arranged Rule 10b5-1 trading plan adopted on February 27, 2026.