SCHW

SEC source: 0001225208-21-004585 · doc4.xml · nonDerivative · entry 1

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,483.8276

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.

F1 · shares: Shares acquired on the vesting of restricted stock units.

SEC source: 0001225208-21-003841 · doc4.xml · nonDerivative · entry 1

Crawford Peter B. · CIK 0001706835 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 25,077

SEC source: 0001225208-21-003661 · doc4.xml · nonDerivative · entry 1

DODDS CHRISTOPHER V · CIK 0001186004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 436,742

F1 · price: This transaction was executed in multiple trades at prices ranging from $63.98 to $64.20. 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: 0001225208-21-003700 · doc4.xml · derivative · entry 3

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,904 shares

Expires 2024-03-03

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: 0001225208-21-003700 · doc4.xml · nonDerivative · entry 2

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2020.

F2 · price: This transaction was executed in multiple trades at prices ranging from $64.99 to $65.06. 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: 0001225208-21-003700 · doc4.xml · nonDerivative · entry 1

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 8,904

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: 0001225208-21-003701 · doc4.xml · derivative · entry 5

Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,977

Underlying: Common Stock · 29,976 shares

Expires 2026-03-01

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: 0001225208-21-003701 · doc4.xml · nonDerivative · entry 2

Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 72,268.8091

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2020.

F2 · price: This transaction was executed in multiple trades at prices ranging from $65.00 to $65.095. 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: 0001225208-21-003701 · doc4.xml · nonDerivative · entry 1

Clark Bernard J. · CIK 0001564429 · EVP - Advisor Services

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 102,244.8091

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: 0001225208-21-003702 · doc4.xml · derivative · entry 9

Morgan Peter J. III · CIK 0001792910 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,406

Underlying: Common Stock · 4,405 shares

Expires 2028-11-01

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: 0001225208-21-003702 · doc4.xml · derivative · entry 8

Morgan Peter J. III · CIK 0001792910 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,277

Underlying: Common Stock · 6,828 shares

Expires 2027-11-01

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: 0001225208-21-003702 · doc4.xml · derivative · entry 7

Morgan Peter J. III · CIK 0001792910 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,379 shares

Expires 2026-11-01

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: 0001225208-21-003702 · doc4.xml · nonDerivative · entry 4

Morgan Peter J. III · CIK 0001792910 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,358

F1 · price: This transaction was executed in multiple trades at prices ranging from $63.98 to $64.20. 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: 0001225208-21-003702 · doc4.xml · nonDerivative · entry 3

Morgan Peter J. III · CIK 0001792910 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,970

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: 0001225208-21-003702 · doc4.xml · nonDerivative · entry 2

Morgan Peter J. III · CIK 0001792910 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,591

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: 0001225208-21-003702 · doc4.xml · nonDerivative · entry 1

Morgan Peter J. III · CIK 0001792910 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,186

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: 0001225208-21-003421 · doc4.xml · nonDerivative · entry 1

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 86,427,300

F1 · price: This transaction was executed in multiple trades at prices ranging from $62.415 to $63.04. 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: 0001225208-21-003132 · doc4.xml · derivative · entry 3

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,904

Underlying: Common Stock · 8,903 shares

Expires 2024-03-03

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: 0001225208-21-003132 · doc4.xml · nonDerivative · entry 2

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 6, 2020.

F2 · price: This transaction was executed in multiple trades at prices ranging from $62.95 to $63.06. 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: 0001225208-21-003132 · doc4.xml · nonDerivative · entry 1

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 8,903

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: 0001225208-21-002954 · doc4.xml · nonDerivative · entry 2

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 86,693,300

F2 · price: This transaction was executed in multiple trades at prices ranging from $60.90 to $60.92. 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: 0001225208-21-002954 · doc4.xml · nonDerivative · entry 1

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 86,728,300

F1 · price: This transaction was executed in multiple trades at prices ranging from $60.90 to $60.915. 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: 0001225208-21-002867 · doc4.xml · nonDerivative · entry 3

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 86,763,300

SEC source: 0001225208-21-002867 · doc4.xml · nonDerivative · entry 2

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 86,772,805

F2 · price: This transaction was executed in multiple trades at prices ranging from $60.78 to $61.37. 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: 0001225208-21-002782 · doc4.xml · derivative · entry 3

Haraf William S · CIK 0001632346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,866 shares

Expires 2026-05-19

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 date first exercisable is 5/19/2017.

SEC source: 0001225208-21-002782 · doc4.xml · nonDerivative · entry 2

Haraf William S · CIK 0001632346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,972

F1 · price: This transaction was executed in multiple trades at prices ranging from $61.245 to $61.255. 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: 0001225208-21-002782 · doc4.xml · nonDerivative · entry 1

Haraf William S · CIK 0001632346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,838

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: 0001225208-21-002867 · doc4.xml · nonDerivative · entry 1

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 87,072,805

F1 · price: This transaction was executed in multiple trades at prices ranging from $60.77 to $61.09. 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: 0001225208-21-002470 · doc4.xml · nonDerivative · entry 2

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 87,372,805

F2 · price: This transaction was executed in multiple trades at prices ranging from $57.395 to $57.995. 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: 0001225208-21-002470 · doc4.xml · nonDerivative · entry 1

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 87,622,805

F1 · price: This transaction was executed in multiple trades at prices ranging from $57.695 to $57.975. 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: 0001225208-21-002664 · doc4.xml · derivative · entry 6

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,169

Underlying: Common Stock · 19,000 shares

Expires 2025-03-02

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: 0001225208-21-002664 · doc4.xml · derivative · entry 5

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,665 shares

Expires 2024-11-03

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 date first exercisable is 11/03/2015.

SEC source: 0001225208-21-002664 · doc4.xml · nonDerivative · entry 3

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,274.9959

F1 · price: This transaction was executed in multiple trades at prices ranging from $57.875 to $57.995. 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: 0001225208-21-002664 · doc4.xml · nonDerivative · entry 2

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,939.9959

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: 0001225208-21-002664 · doc4.xml · nonDerivative · entry 1

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,274.9959

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: 0001225208-21-002285 · doc4.xml · nonDerivative · entry 1

SCHWAB CHARLES R · CIK 0000923738 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 87,697,805

F1 · price: This transaction was executed in multiple trades at prices ranging from $55.425 to $56.36. 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: 0001225208-21-002317 · doc4.xml · derivative · entry 12

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,173 shares

Expires 2024-11-03

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: 0001225208-21-002317 · doc4.xml · derivative · entry 11

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,024 shares

Expires 2023-11-01

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: 0001225208-21-002317 · doc4.xml · derivative · entry 10

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,693 shares

Expires 2024-08-01

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: 0001225208-21-002317 · doc4.xml · derivative · entry 9

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,820 shares

Expires 2023-08-01

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: 0001225208-21-002317 · doc4.xml · derivative · entry 8

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,613 shares

Expires 2024-03-03

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: 0001225208-21-002317 · doc4.xml · nonDerivative · entry 6

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 208,651

F1 · price: This transaction was executed in multiple trades at prices ranging from $55.83 to $56.155. 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: 0001225208-21-002317 · doc4.xml · nonDerivative · entry 5

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 383,974

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: 0001225208-21-002317 · doc4.xml · nonDerivative · entry 4

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 352,801

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: 0001225208-21-002317 · doc4.xml · nonDerivative · entry 3

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 319,108

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: 0001225208-21-002317 · doc4.xml · nonDerivative · entry 2

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 283,495

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: 0001225208-21-002317 · doc4.xml · nonDerivative · entry 1

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 247,471

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: 0001225208-21-002136 · doc4.xml · derivative · entry 8

Goldfarb Mark A · CIK 0001562215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,866 shares

Expires 2026-05-19

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.

F4 · derivative.exercise_date: The date first exercisable is 5/19/2017.

SEC source: 0001225208-21-002136 · doc4.xml · derivative · entry 7

Goldfarb Mark A · CIK 0001562215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,511 shares

Expires 2024-05-19

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.

F3 · derivative.exercise_date: The date first exercisable is 5/19/2015.

SEC source: 0001225208-21-002136 · doc4.xml · derivative · entry 6

Goldfarb Mark A · CIK 0001562215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,548 shares

Expires 2025-05-15

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 date first exercisable is 5/15/2016.