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.
An investor in The Charles Schwab Corporation filed a notice of proposed sale under Rule 144 covering 7,595 shares of common stock. The filing lists an aggregate market value of $792,796.00 and an approximate sale date of 02/02/2026 on the NYSE.
The shares were shown as acquired on 02/02/2026 through a stock option transaction with the issuer for the same 7,595 shares. The table reports that 1,776,936,770 shares of the issuer’s common stock were outstanding, providing context for the planned sale.
The Charles Schwab Corporation reported a leadership change in its technology organization. On January 29, 2026, the board appointed Dennis Howard as Managing Director, Chief Technology, Operations and Data Officer, effective immediately.
Howard has been Schwab’s Chief Information Officer since 2022 and previously served as Executive Vice President, Chief Information Officer from 2016 to 2022 after joining the company in 2014. The company states he was not appointed under any special arrangement, has no family relationships with directors or executive officers, and has no related-party transactions requiring disclosure. Schwab also issued a press release describing several leadership transitions, which is furnished as an exhibit.
Charles R. Schwab has filed a Rule 144 notice to sell 145,650 shares of The Charles Schwab Corporation common stock, with an approximate sale date of January 29, 2026, through The Charles Schwab Corporation as broker on the NYSE.
The issuer had 1,776,936,770 common shares outstanding when this notice was prepared; this is a baseline figure, not the amount being sold. The shares proposed for sale were originally acquired from the issuer in a leveraged buyout transaction on March 31, 1987.
Over the prior three months, Charles R. Schwab sold 134,895 common shares on January 26, 2026 for gross proceeds of $13,905,834 and 71,437 common shares on January 28, 2026 for gross proceeds of $7,372,778.
Charles R. Schwab, Co-Chairman and director of Charles Schwab Corp (SCHW), reported option exercises and related share sales through affiliated entities. On 01/26/2026, nonqualified stock options with a $26.39 exercise price were exercised for 134,895 shares, which were contributed to a living trust and then sold indirectly by the trust at a weighted average price of $103.0864 per share. On 01/28/2026, options at the same exercise price were exercised for 44,962 shares, again contributed to a living trust and sold indirectly by the trust at $103.2003 per share, with an additional trust sale of 26,475 shares at $103.2177 per share. Following these transactions, indirect holdings included 56,092,979 common shares by trust, 30,641,981 shares by a limited partnership, 44,025 shares by 188 Corp, and 9,509,797.33 shares by spouse as trustee.
Charles R. Schwab filed a notice of proposed sale of common stock of The Charles Schwab Corporation. The filing covers 71,437 common shares to be sold through The Charles Schwab Corporation as broker, with an aggregate market value of 7,368,727.00, and notes 1,776,936,770 shares outstanding.
The securities to be sold are listed as common stock acquired from the issuer by various methods and dates, with the amount of securities acquired also shown as 71,437 and a payment date of 01/28/2026. The form reports that during the past three months, Charles R. Schwab sold 134,895 common shares on 01/26/2026 for gross proceeds of 13,905,834.00. By signing, the seller represents that he does not know of any undisclosed material adverse information about the issuer.
Charles Schwab Corporation director Carolyn Schwab-Pomerantz reported several indirect sales of Common Stock on January 22, 2026. Trust accounts associated with her sold 19,050 shares at $105.2473, 9,525 shares at $105.1893, and 9,525 shares at $105.175, while an account held by spouse as trustee sold 4,765 shares at $105.0158.
After these transactions, a trust associated with her held 1,396,458.6599 shares, the spouse-as-trustee account held 436,149 shares, she held 9,624 shares directly, and 2,798 shares were held indirectly through an LLC. Each reported price reflects a weighted average for multiple trades within narrow ranges around $105 per share.
Charles R. Schwab has filed a Form 144 indicating an intention to sell up to 134,895 shares of The Charles Schwab Corporation common stock. The shares are to be sold through The Charles Schwab Corporation as broker on the NYSE, with an indicated aggregate market value of $13,904,976.00 and an approximate sale date of January 26, 2026. The securities to be sold were acquired on the same date through a stock option exercise.
The notice also reports that Charles R. Schwab sold 44,750 common shares during the past three months on October 29, 2025, generating gross proceeds of $4,229,814.00. The filing states that the person on whose behalf the securities are to be sold represents that they are not aware of any undisclosed material adverse information about the company’s current or prospective operations.
Charles Schwab Corp executive Jonathan S. Beatty reported option exercises and related share movements. On January 22, 2026, he exercised a nonqualified stock option for 2,000 shares of Charles Schwab common stock at an exercise price of $46.39 per share, receiving 2,000 shares.
According to the footnotes, those 2,000 shares were contributed to a trust, and the filing also notes an additional contribution of 9,845 shares to that trust. A trust associated with him then sold 2,000 shares of common stock at a weighted average price of $105.0017 per share in multiple trades under a Rule 10b5-1 trading plan adopted on May 28, 2025. Following these transactions, he reported 33,495 shares held directly and 21,768 shares held indirectly by a trust.
A holder of The Charles Schwab Corporation common stock has filed a notice of proposed sale under Rule 144. The filing covers 42,865 common shares to be sold through The Charles Schwab Corporation as broker on the NYSE, with an aggregate market value of $4,509,006.00. The filing notes that 1,776,936,770 shares of the issuer’s common stock are outstanding.
The securities to be sold were acquired as a gift on 02/14/2022 from Charles R. Schwab, who originally acquired the shares on 11/26/1986. By signing, the seller represents that they do not know any undisclosed material adverse information about the issuer’s current or prospective operations.
The Charles Schwab Corporation filed a current report stating that it released its financial results for the quarter ended December 31, 2025. The company notes that these results were announced in a press release dated January 21, 2026, which is included as Exhibit 99.1.
The filing also lists Schwab’s registered securities, including its common stock traded on the New York Stock Exchange under the symbol SCHW, and depositary shares representing interests in its Series D and Series J non-cumulative preferred stock.