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 filings document the regulatory record of a financial services company with brokerage, banking, asset management, custody, wealth management, and advisory operations. Its 8-K reports cover quarterly results, Regulation FD disclosures, completed acquisition activity, executive appointments, senior note issuances, preferred stock offerings, and modifications to securityholder rights.
Schwab’s SEC materials also identify its listed common stock and preferred depositary shares, including series-specific preferred stock designations and dividend or redemption mechanics. Proxy filings describe annual meeting matters, board and governance practices, executive compensation, and stockholder voting items, while securities offering documents and related exhibits provide terms for debt and preferred capital instruments.
Charles Schwab CFO Michael D. Verdeschi reported a routine tax-related share disposition. On settlement of previously granted restricted stock units, 6,519 shares of common stock were withheld to cover tax obligations at a price of $87.42 per share. These shares were not sold in the open market but used to pay taxes due on equity compensation. After this withholding, Verdeschi directly holds 47,442 shares of Charles Schwab common stock.
The Charles Schwab Corporation filed a current report describing a charter clean-up step related to a retired preferred stock series. On June 1, 2026, the company filed a Certificate of Elimination in Delaware for its 4.000% Fixed-Rate Reset Non-Cumulative Perpetual Preferred Stock, Series I.
This filing removes from Schwab’s Fifth Restated Certificate of Incorporation the specific terms previously set out in the Certificate of Designations for the Series I Preferred Stock. The Certificate of Elimination is attached as Exhibit 3.1 and incorporated by reference, formalizing that the Series I terms are no longer part of the charter.
Schwab Charles Corp director John K. Adams Jr. received equity compensation on May 26, 2026. He was granted 1,602 shares of Common Stock in the form of restricted stock units and 3,977 nonqualified stock options with an exercise price of $89.40 per share.
Both the restricted stock units and options were granted under the company’s 2022 Stock Incentive Plan and vest 25% on the first and second anniversaries of the grant date and 50% on the third anniversary. Following the stock grant, Adams directly holds 50,711.239 shares of Common Stock, including 304.2606 shares acquired through dividend reinvestment.
Charles Schwab Corporation director Charles A. Ruffel reported equity compensation awards rather than open-market trades. He received a grant of restricted stock units representing 1,602 shares of Common Stock at a stated price of $0.00 per share.
The RSUs were granted under the company’s 2022 Stock Incentive Plan and vest 25% on each of the first and second anniversaries of the grant date and 50% on the third anniversary. Following this award, his direct Common Stock holdings reported in this entry total 11,380.6867 shares.
Ruffel was also granted a Nonqualified Stock Option covering 3,977 shares of Common Stock at an exercise price of $89.40 per share, expiring on May 26, 2036, with the same 25/25/50 vesting schedule. Indirect holdings include 3,527.8656 shares held by a 401(k) account and 9,756.7612 shares held by an IRA, which incorporate shares acquired through dividend reinvestment.
Schwab-Pomerantz Carolyn reported acquisition or exercise transactions in this Form 4 filing.
SCHWAB CHARLES CORP director Carolyn Schwab-Pomerantz reported new equity awards and updated holdings. She received a grant of 1,602 shares of common stock as restricted stock units and 3,977 nonqualified stock options with a strike price of $89.40 per share.
Both the RSUs and options were granted under the company’s 2022 Stock Incentive Plan and vest 25% on the first and second anniversaries of the grant date and 50% on the third. Following the awards, she holds 11,226 common shares directly, plus indirect holdings of common stock through an LLC, a trust, and a trust where her spouse is trustee.
Schwab director Joan Dea received new equity compensation awards. She was granted 1,602 shares of common stock in the form of restricted stock units and 3,977 nonqualified stock options with an exercise price of $89.40 per share. Following these awards, she directly holds 28,440 common shares and 3,977 options. Both the RSUs and options were granted under the company’s 2022 Stock Incentive Plan and vest 25% on the first and second anniversaries of the grant date and 50% on the third anniversary.
Schwab Charles Corp President & CEO Richard A. Wurster purchased 21,959 shares of common stock in an open-market transaction. The shares were bought on May 28, 2026 at a weighted average price of $84.2257 per share.
Following this purchase, Wurster directly holds 218,409 common shares. A separate entry shows indirect ownership of 4,595 shares held by ESPP, reflecting shares acquired through an employee stock purchase arrangement. The filing notes the buy was executed in multiple trades between $84.04 and $84.51 per share.
Charles Schwab director Marianne Catherine Brown received new equity awards as part of her compensation. She acquired 1,602 shares of common stock through a grant of restricted stock units under the company’s 2022 Stock Incentive Plan, bringing her direct holdings to 17,353 shares after the grant.
She was also granted a nonqualified stock option covering 3,977 shares of common stock at an exercise price of $89.40 per share, expiring on May 26, 2036. Both the restricted stock units and the option vest 25% on the first and second anniversaries of the grant date and 50% on the third anniversary.
Schwab Charles Corp director Christopher V. Dodds reported equity awards, not open-market trades. He received 1,602 shares of Common Stock as a grant with no cash paid, increasing his directly held shares to 5,669.
He was also granted a Nonqualified Stock Option for 3,977 shares of Common Stock at an exercise price of $89.40 per share. Both the restricted stock units and the option were granted under the company’s 2022 Stock Incentive Plan and vest 25% on the first and second anniversaries of the grant date and 50% on the third anniversary.
Separately, an indirect holding entry shows 450,654 shares of Common Stock held by a trust, reflecting existing ownership reported as indirect, rather than a new transaction.
SCHWAB CHARLES CORP director Frank C. Herringer reported new equity awards and updated holdings. On May 26, 2026, he received 1,602 shares of Common Stock as a grant under the company’s 2022 Stock Incentive Plan, increasing his directly held shares to 12,268. He was also granted a nonqualified stock option for 3,977 shares of Common Stock at an exercise price of $89.40 per share, expiring on May 26, 2036. Both the restricted stock units and the option vest 25% on the first and second anniversaries of the grant date and 50% on the third anniversary. Separately, indirect holdings are shown as 50,625 shares held by a spouse’s IRA and 177,508 shares held by a trust. These entries reflect compensation-related grants and existing indirect ownership rather than open-market buying or selling.