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 Schwab Corporation (SCHW) – Form 4 insider filing
On 07/01/2025, independent director Charles A. Ruffel received a non-qualified stock option for 1,322 shares of Charles Schwab common stock at an exercise price of $91.17. The option was granted under the company’s Directors’ Deferred Compensation Plan II, vests immediately, and expires on 07/01/2035. The award was taken in lieu of cash director fees, indicating the director’s choice to align compensation with future share performance. Following the grant, Mr. Ruffel beneficially owns 1,322 derivative securities (options) directly; no changes were reported in his non-derivative (common-stock) holdings.
The transaction is routine board compensation and does not involve open-market purchases or sales. While it marginally increases insider exposure to the stock, the small size (≈$120k notional value at grant price) suggests limited market impact.
Form 4 filing for The Charles Schwab Corporation (SCHW) discloses that director Stephen A. Ellis acquired 371 restricted stock units (RSUs) on 07/01/2025 under the company’s Directors’ Deferred Compensation Plan II. The RSUs, received in lieu of cash board fees, are held in a rabbi trust and will be distributed when the director leaves the Board. Following the transaction, Ellis now beneficially owns 11,626.64 RSUs, including 34.77 units accumulated through dividend reinvestment. No shares were sold, and the filing reflects routine equity-based compensation rather than an open-market purchase.
On July 3, 2025, a Form 144 filing disclosed that insider Carolyn S. Pomerantz plans to sell up to 72,000 common shares of The Charles Schwab Corporation (SCHW) through Charles Schwab Corp. as broker. The shares have an estimated aggregate market value of $6.58 million. The filing states the shares originated from a February 14, 2022 gift.
The document also lists recent activity: over the past three months Pomerantz sold an additional 72,907 shares for total gross proceeds of $6.17 million. After the proposed sale, her disclosed sales in 2025 would reach roughly 144,907 shares. Given Schwab’s 1.82 billion shares outstanding, the new sale represents about 0.004 % of the float, suggesting limited direct dilution or price impact.
Form 144 serves only as advance notice; execution is not guaranteed. No 10b5-1 plan adoption date was provided, and the filer certified she possesses no undisclosed adverse information. Investors may view continued insider selling as a sentiment datapoint, but the scale appears immaterial to Schwab’s capital structure.
Director Stephen A. Ellis of Charles Schwab executed notable insider transactions on June 24, 2025:
- Exercised 1,853 nonqualified stock options at a strike price of $33.12 per share
- Acquired 1,853 shares of common stock through option exercise
- Contributed the newly acquired shares plus additional 2,379 shares to a revocable trust
Following these transactions, Ellis's holdings include:
- 6,660 shares held directly
- 93,389 shares held indirectly through trust (including 304 shares from dividend reinvestment)
The stock options were granted under the Directors' Deferred Compensation Plan II with immediate vesting and were set to expire on July 1, 2025. This Form 4 filing was submitted by attorney-in-fact P. Blake Allen on June 26, 2025.
Charles Schwab Chief Risk Officer Nigel J. Murtagh reported significant insider trading activity on June 18, 2025. The transactions involved:
- Exercise of 20,872 nonqualified stock options at a strike price of $42.99
- Immediate sale of all exercised shares at an average price of $90.0089 per share
- The sale was executed under a pre-established Rule 10b5-1 trading plan from November 23, 2024
Following these transactions, Murtagh's holdings include 58,999 shares held directly and 2,374 shares held indirectly through an ESPP. The exercised options were granted under the 2013 Stock Incentive Plan and had completely vested in four annual installments. The options were set to expire on March 1, 2027, but were exercised well before expiration.
Paul V. Woolway, Managing Director and Chief Banking Officer of Charles Schwab, reported significant insider transactions on June 18, 2025:
- Exercised 10,129 non-qualified stock options at $46.81 per share under the company's 2013 Stock Incentive Plan
- Subsequently sold 10,129 shares at weighted average price of $90.0073 (range: $90.00-$90.045) through a Rule 10b5-1 trading plan established November 15, 2024
- Contributed exercised shares to a revocable trust
Post-transaction holdings include:
- 33,767 shares held directly
- 39,154 shares in trust
- 7,464 shares in ESPP
- 2,277 shares through two sons (1,138.624 each)
- 10,131 remaining stock options exercisable until March 1, 2029