The Charles Schwab Corporation announced it issued a press release with financial results for the quarter ended September 30, 2025. The release was furnished as Exhibit 99.1 to the report.
This notice is an administrative update that makes Schwab’s quarterly results publicly available through an accompanying press release. The filing also lists the company’s registered securities, including common stock (SCHW) and depositary shares for Series D and Series J preferred stock.
Charles Schwab (SCHW) reported a director equity award. On 10/01/2025, the director acquired 407 restricted stock units (RSUs) under the Directors’ Deferred Compensation Plan II, held in a rabbi trust and received in lieu of cash director fees. The RSUs are distributed when she leaves the Board. After the transaction, RSU holdings were 6,950.79, including 18.40 acquired through dividend reinvestment.
Stephen A. Ellis, a Director of Schwab Charles Corp (SCHW), was granted 366 restricted stock units (RSUs) on 10/01/2025 under the Directors' Deferred Compensation Plan II and received them in lieu of cash director fees. The RSUs are held in a rabbi trust for the reporting person and will be distributed when he leaves the Board. After the grant the filing reports 12,025.42 shares beneficially owned by Mr. Ellis, which includes 32.78 RSUs acquired through dividend reinvestment. The Form 4 was filed by one reporting person and signed by an attorney-in-fact on 10/03/2025.
Charles Schwab Corporation (SCHW) reported a Form 4 showing a director received a nonqualified stock option to buy 1,340 shares at $92.25 on 10/01/2025. The option vests immediately and expires on 10/01/2035.
The award was granted under the Directors' Deferred Compensation Plan II in lieu of cash director fees. After this transaction, the director beneficially owns 1,340 derivative securities, reported as direct (D) ownership.
Frank C. Herringer, a director of Schwab Charles Corp (SCHW), reported awards received on 10/01/2025. He was granted 224 restricted stock units (RSUs) under the Directors' Deferred Compensation Plan II, held in a rabbi trust and payable when he leaves the board; the filing notes those RSUs were issued in lieu of cash director fees. The report also shows a nonqualified stock option for 921 shares with an exercise price of $92.25, exercisable immediately and expiring on 10/01/2035, which was likewise issued in lieu of cash fees. The filing discloses total beneficial ownership following the transactions of 149,911.14 shares and that the RSU total includes 420.79 RSUs acquired through dividend reinvestment.
Carolyn Schwab-Pomerantz, a director of SCHWAB CHARLES CORP (SCHW), reported sales of company common stock under a Rule 10b5-1 trading plan. On 10/02/2025 she disposed of 14,400 shares at a weighted-average price of $92.5465 and 9,600 shares at a weighted-average price of $92.5545, each sale effected in multiple trades. The filing states the 10b5-1 plan was adopted on August 14, 2024. Following the reported transactions the form lists various beneficial holdings, including 1,434,856.6599 shares indirectly held by a trust and 440,914 shares indirectly held by spouse as trustee; additional holdings of 9,624 and 2,798 shares are also reported with direct or indirect forms. The report is signed by an attorney-in-fact on 10/03/2025.
Paul V. Woolway, MD, Chief Banking Officer of Schwab Charles Corp (SCHW), reported multiple sales of company common stock on 10/01/2025. The Form 4 shows two Rule 10b5-1 plan sales of 1,913 and 1,292 shares (both marked S(1)) and another reported disposal of 25,153 shares. The reporting person states the sales were made under a Rule 10b5-1 trading plan adopted on November 15, 2024. Execution occurred in multiple trades at prices ranging from $92.49 to $94.25, with weighted average prices reported as $93.0449 and $93.7434. The Form 4 was signed by an attorney-in-fact on 10/02/2025.
Notice of proposed sale of securities under Rule 144 by an insider related to The Charles Schwab Corporation.
The filer reports a planned sale of 24,000 common shares with an aggregate market value of $2,219,393.00 and lists the approximate sale date as 10/02/2025 on the NYSE. Those shares were acquired as a gift on 02/14/2022 from Charles R. Schwab. The company has 1,815,219,300 shares outstanding, so the proposed block is immaterial relative to total outstanding shares. The filing also discloses three reported sales by the same account in the past three months: 24,000 shares on 08/07/2025 for $2,320,656.00, 13,542 shares on 08/25/2025 for $1,300,802.00, and 24,000 shares on 09/04/2025 for $2,319,300.00. The filer certifies there is no undisclosed material information.
Form 144 notice filed for proposed sale of SCHW common stock. The filer intends to sell 3,205 shares of The Charles Schwab Corporation, with an aggregate market value reported at $299,111, on or about 10/01/2025 on the NYSE. The securities were acquired on 03/03/2015 from the issuer. The filing lists prior open-market sales by the same person within the past three months: 3,290 shares sold 08/01/2025 for $316,043 and 3,205 shares sold 09/02/2025 for $305,126. The filer represents they are unaware of any undisclosed material adverse information and the notice includes the standard signature and certification language.
Carolyn Schwab-Pomerantz, a director of The Charles Schwab Corporation (SCHW), reported multiple dispositions of Common Stock on 09/04/2025 executed under a Rule 10b5-1 trading plan adopted on August 14, 2024. The filing shows sales of 14,400 shares (reported at a weighted-average price of $96.6377) and 9,600 shares (weighted-average $96.6372), with the transactions executed in multiple trades at prices ranging from $96.235 to $96.93. Following the reported transactions, the filing discloses beneficial ownership positions including 1,449,256.6599 shares held indirectly by a trust and 450,514 shares held indirectly by a spouse as trustee. The Form 4 was signed by an attorney-in-fact on 09/05/2025.