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 reported a director equity grant on a Form 4. On 01/02/2026, the director acquired 394 restricted stock units (RSUs) under the company’s Directors' Deferred Compensation Plan II. Each RSU represents the right to receive one share of Charles Schwab stock and is held in a rabbi trust for the director’s benefit.
The RSUs were received in lieu of cash director fees and will be distributed to the director when she leaves the Board of Directors. Following this transaction, the director beneficially owns 7,365.22 RSUs, which includes 20.43 RSUs acquired through dividend reinvestment in November 2025.
Charles Schwab Corp director equity compensation update: A company director reported receiving 431 restricted stock units (RSUs) of Charles Schwab Corp common stock on 01/02/2026 under the Directors' Deferred Compensation Plan II. These RSUs were received in lieu of cash director fees and are held in a rabbi trust for the director's benefit, to be distributed when he leaves the Board of Directors. Following this transaction, the director beneficially owns 150,782.73 RSUs, which includes 440.59 RSUs acquired through dividend reinvestment in November 2025. Each RSU represents the right to receive one share of company stock.
Charles Schwab Corp disclosed a director equity grant in the form of restricted stock units. On 01/02/2026, a director received 357 restricted stock units, each representing the right to receive one share of common stock. These units were granted under the Directors' Deferred Compensation Plan II and are held in a rabbi trust for the director’s benefit.
The RSUs were issued in lieu of cash director fees and will be distributed to the director when he leaves the Board of Directors, consistent with the plan’s terms. Following this transaction, the director beneficially owned 12,417.76 restricted stock units, which includes 35.34 RSUs acquired through dividend reinvestment in November 2025.
Charles Schwab Corporation director reports new stock option grant. A company director filed a Form 4 disclosing receipt of a nonqualified stock option to buy 1,317 shares of Schwab common stock on 01/02/2026 at an exercise price of $101.57 per share. The option was granted under the Directors' Deferred Compensation Plan II, vested immediately on the grant date, and is scheduled to expire on 01/02/2036. The filing states the option was received in lieu of cash compensation otherwise payable as director fees and is held as a direct ownership position.
Charles Schwab Corporation officer Form 4 shows an option exercise and related share sale. On 12/23/2025, the reporting person exercised a nonqualified stock option to buy 2,000 shares of Charles Schwab common stock at $46.39 per share, granted under the company’s 2013 Stock Incentive Plan and expiring on 11/01/2028.
The 2,000 shares received were contributed to a trust, and the trust then sold 2,000 shares of common stock on the same date in multiple trades at a weighted average price of $102.0108 per share under a Rule 10b5‑1 trading plan adopted on May 28, 2025. After these transactions, the reporting person held 43,340 shares directly and 11,923 shares indirectly through the trust, and 2,000 stock options remained beneficially owned.
The Charles Schwab Corporation insider plans to sell common stock under Rule 144. A notice reports a proposed sale of 4,000 shares of Schwab common stock through The Charles Schwab Corporation as broker on the NYSE, with an aggregate market value of $414,020.00. The shares relate to a stock option exercise from the issuer on 12/23/2025. The notice also shows that the seller previously sold 3,072 shares of Schwab common stock on 11/12/2025 for gross proceeds of $301,056.00. Schwab had 1,776,936,770 shares of common stock outstanding at the time listed.
Charles Schwab Corp director reports option exercise and trust transfer. A company director exercised a nonqualified stock option for 1,922 shares of common stock at an exercise price of $31.98 per share on 12/16/2025, coded as transaction type “M”. Following this transaction, the director directly owned 6,660 shares of Charles Schwab common stock and indirectly held 97,959.7662 shares through a trust.
The explanation notes that the shares received upon exercise were contributed to a revocable trust and that the indirect holdings include 277.8338 shares acquired via dividend reinvestment. The option was originally granted under the Directors' Deferred Compensation Plan II and vested immediately, and after this exercise the report shows 0 derivative securities of this option remaining.
Charles Schwab Corp director reports share transfer
A director of Charles Schwab Corp (SCHW) reported a transaction in company stock dated 11/19/2025. The filing shows a transaction coded "G" for 8,372 shares of common stock at a price of $0, which typically indicates a gift or similar transfer for no consideration. After this transaction, the director reports beneficial ownership of 9,778.6867 shares held directly, 9,662.1247 shares held indirectly through an IRA, and 3,493.6468 shares held indirectly through a 401(k) plan.
The reported direct and indirect positions include shares acquired through dividend reinvestment: 40.3393 shares in the direct account, 27.3683 shares in the IRA, and 9.8959 shares in the 401(k). This Form 4 provides an updated snapshot of the director’s holdings in Schwab stock, distinguishing between direct ownership and retirement-related accounts.
Charles Schwab Corp (SCHW) reported an insider equity change involving its Chief Risk Officer. On 11/12/2025, the officer reported a Form 4 transaction coded "G" in common stock, indicating a gift or similar transfer. The filing shows 1,032.4013 shares of common stock disposed of at a stated price of $0, leaving 57,972.4846 shares beneficially owned directly after the transaction. The officer also reports an additional 2,374 shares held indirectly through an employee stock purchase plan (ESPP). The position includes 5.6553 shares that were acquired through dividend reinvestment, highlighting ongoing participation in Schwab equity programs.
Charles Schwab Corporation (SCHW) reported an insider equity transaction by its MD, Head of Advisor Services. On 11/12/2025, the executive exercised a nonqualified stock option to acquire 3,072 shares of common stock at $46.39 per share, then contributed those shares to a trust. That same day, the trust sold 3,072 shares of common stock at $98 per share under a pre-arranged Rule 10b5-1 trading plan adopted on May 28, 2025. Following these transactions, the executive directly owned 43,340 shares of Schwab common stock and the trust beneficially owned 11,923 shares, with 4,000 stock options remaining outstanding and held directly.