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.
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.