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 Corp (SCHW) reported an insider transaction on a Form 4. A director recorded a gift (Code G) of 298 shares of common stock on 11/10/2025 at a stated price of $0.
Following the transaction, the reporting person’s beneficial ownership included 1,434,558.6599 shares held indirectly by a trust, 440,914 shares held indirectly by spouse as trustee, 2,798 shares held indirectly by an LLC, and 9,624 shares held directly.
Charles Schwab Corp (SCHW) reported an insider Form 4. A Director and Co‑Chairman filed a Code G transaction on 11/10/2025 involving 61,388 shares at $0. Following the transaction, 529,346 shares were beneficially owned indirectly by a Family Trust.
Other indirect holdings disclosed: 4,073 shares by ESPP, 6,677.621 shares by ESOP, 2,379.7757 shares by spouse, and 176.1192 shares by spouse as trustee. The ESOP figure is based on a plan statement as of November 11, 2025, and the spouse’s amount includes 6.7408 shares acquired through dividend reinvestment.
Charles Schwab Corporation (SCHW) officer (MD, Chief Banking Officer) reported Form 4 transactions dated 11/10/2025. The filing lists transfers coded “G” at $0: 1,089 shares of common stock were transferred out (disposition) from a trust, and 398 shares were added to each of Son 1 and Son 2 accounts.
Following these transactions, beneficial ownership is reported as: 29,866.4372 shares by Trust, 1,536.624 shares by Son 1, and 1,536.624 shares by Son 2, all indirect. Additional reported holdings include 25,153 shares held directly and 7,468 shares held indirectly via ESPP. The remarks note the activity reflects transfers of shares between trusts.
The Charles Schwab Corporation filed a preliminary prospectus supplement for a primary debt offering of fixed‑to‑floating rate senior notes due 2031 and 2036. The notes are senior unsecured obligations that rank equally with the company’s other unsecured senior indebtedness. The filing states the notes will pay a fixed rate until an interest reset date, then a floating rate based on compounded SOFR plus a spread, with interest paid semi‑annually during the fixed period and quarterly during the floating period.
Schwab may redeem the notes at its option under specified terms, including make‑whole provisions before the reset dates and par calls thereafter. The company does not plan to list the notes on any securities exchange, and an active trading market may not develop. Use of proceeds is for general corporate purposes, including repayment of maturing notes. The risk section highlights structural subordination to subsidiary liabilities, limited covenants, sensitivity to interest rates and credit ratings, and SOFR‑related benchmark transition considerations.
Charles Schwab (SCHW) insider transaction: An officer (MD, Head of Investor Services) reported an option exercise and same‑day sale on 11/07/2025. The insider exercised 35,188 nonqualified stock options at an exercise price of $41.98 per share (code M), then sold 35,188 shares at a weighted average sale price of $95.3458 (code S), with trades executed between $95.235 and $95.45.
Shares received upon exercise were contributed to a revocable trust before being sold. Following these transactions, reported beneficial ownership of the common stock was 0, and the derivative position was 0. The option was granted under the company’s 2013 Stock Incentive Plan and vested in four equal annual installments; it had an expiration date of 03/02/2030.
The Charles Schwab Corporation reported strong Q3 results in its 10-Q. Total net revenues were $6,135 million, up 27% year over year, while expenses excluding interest rose 4% to $3,114 million. Net income increased 67% to $2,358 million and diluted EPS reached $1.26, up 77%. The pre-tax profit margin expanded to 49.2% from 38.0%.
Growth was fueled by robust client activity. Net new client assets were $134.4 billion, up 48%, and core net new assets were $137.5 billion, up 44%. Client assets ended the quarter at $11,593.9 billion, up 17%, with average client assets of $11,151.9 billion, up 16%. New brokerage accounts were 1,143 thousand, up 18%, and active brokerage accounts reached 37,963 thousand, up 6%.
For the first nine months, revenues rose 23% to $17,585 million and net income grew 56% to $6,393 million. Management highlighted improved investor sentiment, record equity market levels, and a 25 bps federal funds rate cut in September as part of the operating backdrop.
The Charles Schwab Corporation (SCHW) received a Form 144 notice for a proposed sale of up to 35,188 shares of its common stock. The notice lists an aggregate market value of $3,355,028 and an approximate sale date of 11/07/2025 on the NYSE.
The shares were acquired via a stock option exercise from the issuer on 11/07/2025. The notice also lists 1,815,219,300 shares of common stock outstanding. A Form 144 is a notice of intent to sell restricted or control securities and does not itself complete a sale.
The Charles Schwab Corporation announced it has entered into a definitive agreement to acquire Forge Global Holdings, Inc. The company also released a press release and an investor presentation with supplemental details, provided as Exhibits 99.1 and 99.2.
This disclosure was made via an 8-K and references accompanying materials for transaction information. Schwab’s listed securities include common stock (SCHW) and depositary shares tied to preferred stock series.
Charles Schwab Corp (SCHW) insider activity: A Co‑Chairman and Director reported two open‑market sales of common stock. On 10/28/2025, 64,400 shares were sold at a weighted average price of $94.0048. On 10/29/2025, 44,750 shares were sold at a weighted average price of $94.521. Following these transactions, 56,171,954 shares were held indirectly by a trust. Additional indirect holdings included 9,509,797.33 shares by spouse as trustee, 30,641,981 shares by a limited partnership, and 44,025 shares by 188 Corp. The prices reflect weighted averages from multiple trades within disclosed ranges.
Charles Schwab (SCHW): A company officer (MD, Chief Banking Officer) reported a transaction on 10/29/2025. The filing shows a transfer of 3,822.6706 shares at $0 (transaction code G), affecting indirect holdings held by a trust.
Following the transaction, the reporting person shows 30,955.4372 shares held indirectly by trust, 25,153 shares held directly, 7,468 shares held indirectly via ESPP, and 1,138.624 shares held indirectly for each of two children.