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.
The Charles Schwab Corporation reported that it issued $1,000,000,000 aggregate principal amount of 4.603% fixed-to-floating rate senior notes due 2029. The notes were sold under an existing shelf registration and related prospectus materials.
Schwab received approximately $995.5 million in net proceeds after underwriting discounts, commissions and estimated offering expenses. The notes were issued under a senior indenture dated November 14, 2025, as supplemented on June 29, 2026, and sold to underwriters led by Citigroup and Goldman Sachs.
The Charles Schwab Corporation is offering $1,000,000,000 aggregate principal amount of 4.603% Fixed-to-Floating Rate Senior Notes due 2029. The notes mature on July 27, 2029, pay a fixed rate of 4.603% per annum through the interest reset date (July 27, 2028) and thereafter pay compounded SOFR plus 0.622% during the floating rate period. The first interest payment will be made on July 27, 2026.
The notes are senior unsecured obligations ranking equally with other unsecured senior debt. The offering price was 100.000% of principal ($1,000,000,000 aggregate) with underwriting discount of 0.150%, producing estimated net proceeds of approximately $995.5 million to CSC to be used for general corporate purposes. The notes will not be listed for trading and will be delivered in book-entry form through DTC on or about June 29, 2026.
Schwab director Stephen A. Ellis reported routine equity compensation activity and related trust movements. He exercised a nonqualified stock option to acquire 2,258 shares of Common Stock at $25.11 per share, a derivative exercise rather than an open-market purchase.
Following the exercise, Ellis held 7,445 Common Stock shares directly. A separate entry shows 101,992.6963 Common Stock shares held indirectly by a trust, with footnotes explaining that shares received on exercise and other directly held shares were contributed or transferred to the trust.
The Charles Schwab Corporation is offering senior unsecured fixed-to-floating rate notes due 2029 in a preliminary prospectus supplement dated June 25, 2026. The notes pay a fixed rate through an interest reset date, then pay a floating rate equal to compounded SOFR plus a spread. The notes are redeemable at Schwab’s option on the terms described, will rank equally with other unsecured senior debt, will not be listed, and are offered for general corporate purposes.
Charles Schwab CFO Michael D. Verdeschi reported a routine tax-related share disposition. On settlement of previously granted restricted stock units, 6,519 shares of common stock were withheld to cover tax obligations at a price of $87.42 per share. These shares were not sold in the open market but used to pay taxes due on equity compensation. After this withholding, Verdeschi directly holds 47,442 shares of Charles Schwab common stock.
The Charles Schwab Corporation filed a current report describing a charter clean-up step related to a retired preferred stock series. On June 1, 2026, the company filed a Certificate of Elimination in Delaware for its 4.000% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series I.
This filing removes from Schwab’s Fifth Restated Certificate of Incorporation the specific terms previously set out in the Certificate of Designations for the Series I Preferred Stock. The Certificate of Elimination is attached as Exhibit 3.1 and incorporated by reference, formalizing that the Series I terms are no longer part of the charter.
Schwab Charles Corp director John K. Adams Jr. received equity compensation on May 26, 2026. He was granted 1,602 shares of Common Stock in the form of restricted stock units and 3,977 nonqualified stock options with an exercise price of $89.40 per share.
Both the restricted stock units and options were granted under the company’s 2022 Stock Incentive Plan and vest 25% on the first and second anniversaries of the grant date and 50% on the third anniversary. Following the stock grant, Adams directly holds 50,711.239 shares of Common Stock, including 304.2606 shares acquired through dividend reinvestment.
Charles Schwab Corporation director Charles A. Ruffel reported equity compensation awards rather than open-market trades. He received a grant of restricted stock units representing 1,602 shares of Common Stock at a stated price of $0.00 per share.
The RSUs were granted under the company’s 2022 Stock Incentive Plan and vest 25% on each of the first and second anniversaries of the grant date and 50% on the third anniversary. Following this award, his direct Common Stock holdings reported in this entry total 11,380.6867 shares.
Ruffel was also granted a Nonqualified Stock Option covering 3,977 shares of Common Stock at an exercise price of $89.40 per share, expiring on May 26, 2036, with the same 25/25/50 vesting schedule. Indirect holdings include 3,527.8656 shares held by a 401(k) account and 9,756.7612 shares held by an IRA, which incorporate shares acquired through dividend reinvestment.
Schwab-Pomerantz Carolyn reported acquisition or exercise transactions in this Form 4 filing.
SCHWAB CHARLES CORP director Carolyn Schwab-Pomerantz reported new equity awards and updated holdings. She received a grant of 1,602 shares of common stock as restricted stock units and 3,977 nonqualified stock options with a strike price of $89.40 per share.
Both the RSUs and options were granted under the company’s 2022 Stock Incentive Plan and vest 25% on the first and second anniversaries of the grant date and 50% on the third. Following the awards, she holds 11,226 common shares directly, plus indirect holdings of common stock through an LLC, a trust, and a trust where her spouse is trustee.
Schwab director Joan Dea received new equity compensation awards. She was granted 1,602 shares of common stock in the form of restricted stock units and 3,977 nonqualified stock options with an exercise price of $89.40 per share. Following these awards, she directly holds 28,440 common shares and 3,977 options. Both the RSUs and options were granted under the company’s 2022 Stock Incentive Plan and vest 25% on the first and second anniversaries of the grant date and 50% on the third anniversary.