SCHW

SEC source: 0001062993-23-006877 · form4.xml · nonDerivative · entry 1

Wurster Richard A · CIK 0001889263 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,391

F1 · price: This transaction was executed in multiple trades at prices ranging from $57.22 to $57.34. The price reported reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-006878 · form4.xml · nonDerivative · entry 1

Ellis Stephen A · CIK 0001561563 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 65,414

F1 · price: This transaction was executed in multiple trades at prices ranging from $56.03 to $56.19. The price reported reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-006879 · form4.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · Co-Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 656,501.022

SEC source: 0001062993-23-006880 · form4.xml · nonDerivative · entry 1

Crawford Peter B. · CIK 0001706835 · MD and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 44,725

F1 · price: This transaction was executed in multiple trades at prices ranging from $57.89 to $58.00. The price reported reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-006881 · form4.xml · nonDerivative · entry 1

ADAMS JOHN K JR · CIK 0001625471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,955

SEC source: 0001062993-23-006882 · form4.xml · nonDerivative · entry 1

Ricketts Todd M · CIK 0001533741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,892

F1 · price: This transaction was executed in multiple trades at prices ranging from $56.76 to $56.79. The price reported reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-007227 · form4a.xml · nonDerivative · entry 1

Wurster Richard A · CIK 0001889263 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,391

F1 · shares: The original Form 4, filed on March 14, 2023, is being amended solely to correct an administrative error, which inadvertently reported the transaction as a disposition of shares, when it was an acquisition of shares.

F2 · price: This transaction was executed in multiple trades at prices ranging from $57.22 to $57.34. The price reported reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-006122 · form4.xml · nonDerivative · entry 3

Craig Jonathan M. · CIK 0001733065 · Please see remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 11,159

F4 · kind: The sales reflected in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 18, 2022.

F5 · price: This transaction was executed in multiple trades at prices ranging from $75.94 to $76.70. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: Reflects the contribution of the shares acquired on the vesting of and withholding related to the PBRSUs to a revocable living trust.

SEC source: 0001062993-23-006120 · form4.xml · nonDerivative · entry 2

Bettinger Walter W · CIK 0001296479 · Director · Co-Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 606,501.022

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

SEC source: 0001062993-23-006120 · form4.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · Co-Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 733,438.022

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-006121 · form4.xml · nonDerivative · entry 2

Clark Bernard J. · CIK 0001564429 · MD, Head of Adivsor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

F3 · balance_after: Reflects the contribution of the shares acquired on the vesting of and withholding related to the PBRSUs to a trust.

SEC source: 0001062993-23-006121 · form4.xml · nonDerivative · entry 1

Clark Bernard J. · CIK 0001564429 · MD, Head of Adivsor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,135

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-006122 · form4.xml · nonDerivative · entry 2

Craig Jonathan M. · CIK 0001733065 · Please see remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

F3 · balance_after: Reflects the contribution of the shares acquired on the vesting of and withholding related to the PBRSUs to a revocable living trust.

SEC source: 0001062993-23-006122 · form4.xml · nonDerivative · entry 1

Craig Jonathan M. · CIK 0001733065 · Please see remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,758

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-006123 · form4.xml · nonDerivative · entry 2

Crawford Peter B. · CIK 0001706835 · MD and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

F3 · balance_after: Reflects the contribution of the shares acquired on the vesting of and withholding related to the PBRSUs to a trust.

SEC source: 0001062993-23-006123 · form4.xml · nonDerivative · entry 1

Crawford Peter B. · CIK 0001706835 · MD and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,974

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-006124 · form4.xml · nonDerivative · entry 2

MARTINETTO JOSEPH R · CIK 0001276501 · MD and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

F3 · balance_after: Reflects the contribution of the shares acquired on the vesting of and withholding related to the PBRSUs to a trust.

SEC source: 0001062993-23-006124 · form4.xml · nonDerivative · entry 1

MARTINETTO JOSEPH R · CIK 0001276501 · MD and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,109

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-006125 · form4.xml · nonDerivative · entry 2

Morgan Peter J. III · CIK 0001792910 · MD, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,014

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

SEC source: 0001062993-23-006125 · form4.xml · nonDerivative · entry 1

Morgan Peter J. III · CIK 0001792910 · MD, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,154

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-006126 · form4.xml · nonDerivative · entry 2

Murtagh Nigel J · CIK 0001649599 · MD, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,849.0709

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

SEC source: 0001062993-23-006126 · form4.xml · nonDerivative · entry 1

Murtagh Nigel J · CIK 0001649599 · MD, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,147.0709

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-006127 · form4.xml · nonDerivative · entry 2

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

F3 · balance_after: Reflects the contribution of the shares acquired on the vesting of and withholding related to the PBRSUs to a living trust.

SEC source: 0001062993-23-006127 · form4.xml · nonDerivative · entry 1

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,730

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-006129 · form4.xml · nonDerivative · entry 2

Wurster Richard A · CIK 0001889263 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,391

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of the PBRSUs.

SEC source: 0001062993-23-006129 · form4.xml · nonDerivative · entry 1

Wurster Richard A · CIK 0001889263 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,872

F1 · kind: Shares acquired on the vesting of performance-based restricted stock units ("PBRSUs") granted under the company's 2013 Stock Incentive Plan, reflecting the achievement by the reporting person of the performance goal over a three-year performance period ended December 31, 2022.

SEC source: 0001062993-23-005976 · form4.xml · derivative · entry 1

Craig Jonathan M. · CIK 0001733065 · Please see remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,192

Underlying: Common Stock · 60,192 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005977 · form4.xml · derivative · entry 1

Wurster Richard A · CIK 0001889263 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,919

Underlying: Common Stock · 145,919 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005978 · form4.xml · derivative · entry 1

Murtagh Nigel J · CIK 0001649599 · MD, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,304

Underlying: Common Stock · 38,304 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005979 · form4.xml · derivative · entry 1

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,200

Underlying: Common Stock · 91,200 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005980 · form4.xml · derivative · entry 1

Morgan Peter J. III · CIK 0001792910 · MD, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,448

Underlying: Common Stock · 26,448 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005981 · form4.xml · derivative · entry 1

MARTINETTO JOSEPH R · CIK 0001276501 · MD and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,088

Underlying: Common Stock · 113,088 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005982 · form4.xml · derivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · Co-Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332,878

Underlying: Common Stock · 332,878 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005983 · form4.xml · derivative · entry 1

Clark Bernard J. · CIK 0001564429 · MD, Head of Adivsor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,544

Underlying: Common Stock · 56,544 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005984 · form4.xml · derivative · entry 1

Crawford Peter B. · CIK 0001706835 · MD and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,368

Underlying: Common Stock · 58,368 shares

Expires 2033-03-01

F1 · derivative.exercise_date: The option was granted under the company's 2022 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-006128 · form4.xml · nonDerivative · entry 2

Schwab-Pomerantz Carolyn · CIK 0001950787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,401

F2 · kind: The company withheld shares of common stock from the reporting person to pay the tax withholding obligations related to the vesting of RSUs.

SEC source: 0001062993-23-006128 · form4.xml · nonDerivative · entry 1

Schwab-Pomerantz Carolyn · CIK 0001950787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,890

F1 · kind: The reported transaction constitutes a grant of restricted stock units ("RSUs"), which was granted under the company's 2022 Stock Incentive Plan and vests in four equal installments beginning on the first anniversary of the grant date.

SEC source: 0001062993-23-005094 · form4.xml · nonDerivative · entry 1

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 59,873,334

SEC source: 0001062993-23-005097 · form4.xml · nonDerivative · entry 1

Murtagh Nigel J · CIK 0001649599 · MD, Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,322.0709

F1 · price: This transaction was executed in multiple trades at prices ranging from $80.105 to $80.385. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-004306 · form4.xml · nonDerivative · entry 1

Ruffel Charles A. · CIK 0001739929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,073.1602

F1 · price: This transaction was executed in multiple trades at prices ranging from $80.82 to $80.95. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes 97.2084 shares acquired through dividend reinvestment.

SEC source: 0001062993-23-003689 · form4.xml · nonDerivative · entry 3

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 59,911,309

F2 · price: This transaction was executed in multiple trades at prices ranging from $80.59 to $80.775. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-003859 · form4.xml · derivative · entry 6

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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.

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vested (i) 25% on May 20, 2014, (ii) 25% on May 20, 2015, and (iii) 50% on May 20, 2016.

SEC source: 0001062993-23-003859 · form4.xml · nonDerivative · entry 4

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 157,026

F1 · price: This transaction was executed in multiple trades at prices ranging from $80.80 to $80.945. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-003859 · form4.xml · nonDerivative · entry 3

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 166,165

SEC source: 0001062993-23-003859 · form4.xml · nonDerivative · entry 2

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,899

SEC source: 0001062993-23-003859 · form4.xml · nonDerivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,244

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: 0001062993-23-003689 · form4.xml · nonDerivative · entry 2

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 59,940,084

SEC source: 0001062993-23-003689 · form4.xml · nonDerivative · entry 1

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 60,002,584

F1 · price: This transaction was executed in multiple trades at prices ranging from $80.82 to $81.17. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-002567 · form4.xml · nonDerivative · entry 3

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Limited Partnership

Disclosed balance after: 30,731,256

F2 · price: This transaction was executed in multiple trades at prices ranging from $81.27 to $81.89. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001062993-23-002567 · form4.xml · nonDerivative · entry 2

Schwab Charles R. · CIK 0000923738 · Director · Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Limited Partnership

Disclosed balance after: 30,793,756

F1 · price: This transaction was executed in multiple trades at prices ranging from $80.895 to $81.32. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.