Charles Schwab Corp. (SPE) posts Form 144 listing proposed stock transactions

Rhea-AI Filing Summary

Charles Schwab Corp. submitted a Form 144 notice reporting proposed sales of its common and preferred securities on specified dates. The excerpt lists multiple transactions and quantities tied to dates such as 02/02/2015, 02/03/2016, 09/08/2016, and 01/30/2026, with individual share counts shown against each entry.

The filing lists transaction types including Open market Purchase, Conversion of Preferred shares, Distribution, and a Right Offering entry. The excerpt is a notice-format summary of securities and dates rather than a narrative of proceeds or plan details.

Insights

Securities Compliance Counsel

Form 144 lists proposed affiliate transactions and transaction types with dates and share counts.

The excerpt enumerates securities, transaction dates, and quantities—typical for a Form 144 notice used to notify the market of proposed sales by affiliates. It records methods such as Open market Purchase, Conversion, Distribution, and a Right Offering.

Timing, purchaser identities, and cash‑flow recipients are not specified in the excerpt. Subsequent filings or broker confirmations would show whether and when the listed sales were executed.

Key Figures

Form type: Form 144 Entry date examples: 02/02/2015; 02/03/2016; 09/08/2016; 01/30/2026 Sample share counts: 1,517 shares; 2,000 shares; 2,347 shares; 197 shares +2 more

5 metrics

Form type Form 144 Notice of proposed sale by affiliates

Entry date examples 02/02/2015; 02/03/2016; 09/08/2016; 01/30/2026 Dates associated with listed transactions

Sample share counts 1,517 shares; 2,000 shares; 2,347 shares; 197 shares Quantities shown next to dated transaction lines

Preferred entry quantity 200 shares Right Offering / Issuer entry dated 01/27/2022

Listed NYSE flag NYSE Exchange designation shown for securities

Key Terms

Form 144, Right Offering, Conversion of Preferred shares, Open market Purchase

4 terms

Form 144 regulatory

"144: Securities To Be Sold"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Right Offering market

"Preferred | 01/27/2022 | Right Offering"

Conversion of Preferred shares financial

"Common | 09/08/2016 | Conversion of Preferred shares"

Open market Purchase market

"Common | 02/02/2015 | Open market Purchase"

An open market purchase is when a company buys its own shares on public stock exchanges the same way any investor would, rather than through a private deal. Investors care because these purchases reduce the number of shares available, can boost earnings per share and share price, signal that management thinks the stock is undervalued, and use company cash that might otherwise go to reinvestment or dividends — like a business quietly buying back its own tickets at the box office.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Charles Schwab Corp. 3000 Schwab Way Westlake TX 76262	6261	87842.00	11021426	06/02/2026	NYSE
Preferred	Charles Schwab Corp. 3000 Schwab Way Westlake TX 76262	200	4990.00	2235775	06/02/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Preferred	01/27/2022	Right Offering	Issuer			200	01/27/2022	Cash
Common	02/02/2015	Open market Purchase	Open Market			200	02/02/2015	Cash
Common	02/02/2015	Open Market Purchase	Open Market			1517	02/02/2015	Cash
Common	02/03/2016	Open Market Purchase	Open Market			2000	02/03/2016	Cash
Common	09/08/2016	Conversion of Preferred shares	Conversion of Preferred shares			2347	09/08/2016	Cash
Common	01/30/2026	Distribution	Distribution			197	01/30/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Charles Schwab Corp.'s Form 144 list?

The Form 144 lists proposed sales and transactions by affiliated holders, showing transaction types, dates, and share counts. The excerpt shows entries dated 02/02/2015, 02/03/2016, 09/08/2016, and 01/30/2026, with multiple share quantities per line.

Does the Form 144 disclose proceeds to the issuer (SPE)?

The excerpt does not state who receives proceeds. It records transaction types (e.g., Open market Purchase, Conversion, Distribution) and share counts, but does not specify cash‑flow treatment or use of proceeds within the provided lines.

Are the listed share counts registered for resale on Form 144?

Form 144 is a notice of proposed sale by affiliates and shows quantities per transaction line. The excerpt provides per‑line share numbers but does not present a single registered aggregate amount or prospectus terms in the provided text.

Which transaction methods are shown in the Charles Schwab Corp. excerpt?

The excerpt includes Open market Purchase, Conversion of Preferred shares, Distribution, and a Right Offering entry. Each method is paired with dates and numerical quantities in the notice lines.