SCHW

SEC source: 0001186004-06-000005 · edgar.xml · nonDerivative · entry 3

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 304,962

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001186004-06-000005 · edgar.xml · nonDerivative · entry 2

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 271,212

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001186004-06-000005 · edgar.xml · nonDerivative · entry 1

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 269,556

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001186004-06-000006 · edgar.xml · nonDerivative · entry 5

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 254,456

F1 · balance_after: As of the date of this report, the reporting person also had a direct beneficial ownership interest in 244,023 shares held in trust and 117,793 shares held by an ESOP.

SEC source: 0001186004-06-000006 · edgar.xml · nonDerivative · entry 4

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 254,556

SEC source: 0001186004-06-000006 · edgar.xml · nonDerivative · entry 3

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 254,656

SEC source: 0001186004-06-000006 · edgar.xml · nonDerivative · entry 2

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 254,756

SEC source: 0001186004-06-000006 · edgar.xml · nonDerivative · entry 1

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 254,956

SEC source: 0001296455-06-000011 · edgar.xml · derivative · entry 15

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200

Underlying: Common Stock · 20,000 shares

Expires 2007-01-20

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 14

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,367

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 13

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,367

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 12

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,867

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 11

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,667

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 10

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,867

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 9

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,267

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 8

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,867

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 7

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,367

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 6

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,167

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 5

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,367

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 4

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,367

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 3

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,267

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 2

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,767

SEC source: 0001296455-06-000011 · edgar.xml · nonDerivative · entry 1

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,267

SEC source: 0000923738-06-000042 · edgar.xml · nonDerivative · entry 2

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,126,995

F2 · kind: These shares were distributed by a family limited partnership over which the reporting person has control to a trust for the benefit of the reporting person's daughter B and represented a portion of daughter's B pro rata interest in the shares of issuer stock owned by the partnership. The reporting person does not serve as trustee over the trust for the benefit of daughter B and disclaims beneficial ownership of the shares owned by daughter B.

F3 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 155,072,858 shares held in trust, 42,853,958 shares held by an LLC, 7,977,765 shares held by his spouse and 1,718,852 shares held by an ESOP.

SEC source: 0000923738-06-000042 · edgar.xml · nonDerivative · entry 1

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,326,995

F1 · kind: These shares were distributed by a family limited partnership over which the reporting person has control to the reporting person's daughter A and represented a portion of daughter A's pro rata interest in the shares of issuer stock owned by the partnership. The shares were initially distributed to a trust for the benefit of daughter A of which the reporting person serves as trustee, and the trust distributed the shares to a separate account for daughter A. The reporting person disclaims beneficial ownership of the shares owned by daughter A.

SEC source: 0000923738-06-000039 · edgar.xml · nonDerivative · entry 1

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,526,995

F1 · kind: These shares were distributed to the reporting person's son by a family limited partnership over which the reporting person has control and represented the son's pro rata interest in the shares of issuer stock owned by the partnership. The shares were initially distributed to a trust for the benefit of the reporting person's son of which the reporting person serves as trustee, and the trust immediately distributed the shares to a separate account for the son. The reporting person disclaims beneficial ownership of shares owned by his son.

F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 155,072,858 shares held in trust, 42,853,958 shares held by an LLC, 7,977,765 shares held by his spouse and 1,710,651 shares held by an ESOP.

SEC source: 0000923738-06-000037 · edgar.xml · derivative · entry 1

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 540,541

Underlying: Common Stock · 540,541 shares

Expires 2013-10-30

F1 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F2 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001116722-06-000007 · edgar.xml · derivative · entry 2

MCWHINNEY DEBORAH D · CIK 0001116722 · EVP - Schwab Institutional

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,613

Underlying: Common Stock · 112,613 shares

Expires 2013-10-30

F2 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F3 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001116722-06-000007 · edgar.xml · nonDerivative · entry 1

MCWHINNEY DEBORAH D · CIK 0001116722 · EVP - Schwab Institutional

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,990

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

SEC source: 0001186004-06-000004 · edgar.xml · derivative · entry 2

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,090

Underlying: Common Stock · 90,090 shares

Expires 2013-10-30

F3 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001186004-06-000004 · edgar.xml · nonDerivative · entry 1

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,128

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 265,351 shares held in trust and 117,793 shares held by an ESOP.

SEC source: 0001296424-06-000011 · edgar.xml · derivative · entry 2

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,081

Underlying: Common Stock · 81,081 shares

Expires 2013-10-30

F3 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001296424-06-000011 · edgar.xml · nonDerivative · entry 1

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,600

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 3,225 shares held in trust for her son, 3,225 shares held in trust for her daughter and 1,065 shares held by an ESOP.

SEC source: 0001296455-06-000009 · edgar.xml · derivative · entry 2

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,081

Underlying: Common Stock · 81,081 shares

Expires 2013-10-30

F3 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001296455-06-000009 · edgar.xml · nonDerivative · entry 1

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,367

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 10,000 shares held in trust, 7,710 shares held by an ESOP, 1,361 shares held as custodian for his daughter, 1,011 shares held as custodian for his son, and 159 shares held in a 401(k).

SEC source: 0001296479-06-000002 · edgar.xml · derivative · entry 2

Bettinger Walter W · CIK 0001296479 · EVP - Schwab Investor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,135

Underlying: Common Stock · 135,135 shares

Expires 2013-10-30

F3 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001296479-06-000002 · edgar.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · EVP - Schwab Investor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,913

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 2,013 shares held by his spouse and 5,060 shares held by an ESOP.

SEC source: 0001311379-06-000002 · edgar.xml · derivative · entry 2

Saeger Rebecca · CIK 0001311379 · EVP & Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,063

Underlying: Common Stock · 63,063 shares

Expires 2013-10-30

F2 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F3 · derivative.exercise_date: Each option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001311379-06-000002 · edgar.xml · nonDerivative · entry 1

Saeger Rebecca · CIK 0001311379 · EVP & Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,526

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

SEC source: 0001311481-06-000006 · edgar.xml · derivative · entry 2

Merk Randall W · CIK 0001311481 · EVP-Schwab Financial Products · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,081

Underlying: Common Stock · 81,081 shares

Expires 2013-10-30

F3 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001311481-06-000006 · edgar.xml · nonDerivative · entry 1

Merk Randall W · CIK 0001311481 · EVP-Schwab Financial Products · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,706

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 157,393 shares held in trust.

SEC source: 0001311775-06-000002 · edgar.xml · derivative · entry 2

Hier-King Jan · CIK 0001311775 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,063

Underlying: Common Stock · 63,063 shares

Expires 2013-10-30

F3 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001311775-06-000002 · edgar.xml · nonDerivative · entry 1

Hier-King Jan · CIK 0001311775 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,982

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

F2 · balance_after: As of the date of this report, the reporting person also had an indirect beneficial ownership interest in 77,263 shares held in trust and 6,801 shares held by an ESOP.

SEC source: 0001328055-06-000002 · edgar.xml · derivative · entry 2

Scaturro Peter K · CIK 0001328055 · EVP and CEO - U.S. Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,099

Underlying: Common Stock · 99,099 shares

Expires 2013-10-30

F2 · derivative.exercise_price: Each option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years. Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

SEC source: 0001328055-06-000002 · edgar.xml · nonDerivative · entry 1

Scaturro Peter K · CIK 0001328055 · EVP and CEO - U.S. Trust

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,545

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

SEC source: 0001186004-06-000007 · edgar.xml · nonDerivative · entry 1

DODDS CHRISTOPHER V · CIK 0001186004 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,023

F1 · balance_after: On November 1, 2006, the reporting person mistakenly filed a Form 4 reporting a direct beneficial ownership interest in 216,128 shares and an indirect beneficial ownership interest in 265,351 shares held in trust. As of October 30, 2006, the reporting person actually held a direct beneficial ownership interest in 244,023 shares and an indirect beneficial ownership interest in 237,456 shares held in trust as well as 117,793 shares held by an ESOP.

SEC source: 0001116722-06-000008 · edgar.xml · derivative · entry 2

MCWHINNEY DEBORAH D · CIK 0001116722 · EVP - Schwab Institutional

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,613

Underlying: Common Stock · 112,613 shares

Expires 2013-10-30

F3 · derivative.exercise_price: Shares under the option have an exercise price of $19.186, which is 106% of the closing price of the company's common stock on the date of grant ($18.10).

F4 · derivative.exercise_date: The option vests 25% on each of the first, second, third, and fourth anniversary of the grant date and has a term of seven years.

SEC source: 0001116722-06-000008 · edgar.xml · nonDerivative · entry 1

MCWHINNEY DEBORAH D · CIK 0001116722 · EVP - Schwab Institutional

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,990

F1 · shares: The award vests in increments of 25% on November 1, 2007, 2008, 2009, and 2010 based on the company achieving a performance target related to return on equity for the one-year performance period ending on the day immediately prior to each vesting date.

F2 · balance_after: The report filed on November 1, 2006 mistakenly failed to state that, as of that filing date, the reporting person also had an indirect beneficial ownership interest in 15,952 shares of company stock held in a trust.

SEC source: 0001296455-06-000007 · edgar.xml · derivative · entry 8

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,923 shares

Expires 2008-02-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001296455-06-000007 · edgar.xml · derivative · entry 7

Sasson Gideon · CIK 0001296455 · EVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 184,992 shares

Expires 2008-02-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.