SCHW

SEC source: 0001225208-20-012742 · doc4.xml · derivative · entry 2

Brown Marianne Catherine · CIK 0001804183 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,106

Underlying: Common Stock · 3,106 shares

Expires 2030-10-22

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-012742 · doc4.xml · nonDerivative · entry 1

Brown Marianne Catherine · CIK 0001804183 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,401

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-012744 · doc4.xml · derivative · entry 3

Levitt Brian M · CIK 0001391568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,243

Underlying: Common Stock · 1,243 shares

Expires 2030-10-22

F3 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-012744 · doc4.xml · nonDerivative · entry 1

Levitt Brian M · CIK 0001391568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-012663 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 75,125,011

SEC source: 0001225208-20-012651 · 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 · 6,326 shares

Expires 2022-10-01

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: 0001225208-20-012651 · 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 25, 2019.

F2 · price: This transaction was executed in multiple trades at prices ranging from $40.00 to $40.01. 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: 0001225208-20-012651 · doc4.xml · nonDerivative · entry 1

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 6,326

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: 0001225208-20-012326 · doc4.xml · nonDerivative · entry 1

Levitt Brian M · CIK 0001391568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,846

F1 · shares: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

SEC source: 0001225208-20-012341 · doc4.xml · nonDerivative · entry 3

Ricketts Todd M · CIK 0001533741 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Spouse as Trustee

Disclosed balance after: 295,320

F1 · shares: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

SEC source: 0001225208-20-012341 · doc4.xml · nonDerivative · entry 2

Ricketts Todd M · CIK 0001533741 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 7,867

F1 · shares: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

SEC source: 0001225208-20-012341 · doc4.xml · nonDerivative · entry 1

Ricketts Todd M · CIK 0001533741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,801

F1 · shares: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

SEC source: 0001225208-20-014849 · doc4a.xml · nonDerivative · entry 1

Ricketts Todd M · CIK 0001533741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,931

F1 · shares: The reporting person inadvertently over-reported the shares he recieved upon the conversion of his TD Ameritrade Holding Corporation shares by five shares.

F2 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in Remarks section, below)

SEC source: 0001225208-20-012035 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 75,176,188

SEC source: 0001225208-20-012208 · doc4.xml · derivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,348.64

Underlying: Common Stock · 895 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of company stock.

F2 · shares: The restricted stock units were received pursuant to the Directors' Deferred Compensation Plan II (the "Plan") and are held in a rabbi trust for the benefit of the reporting person pursuant to the terms of the Plan.

F4 · price: The restricted stock units were received in lieu of cash compensation otherwise payable as director fees.

F3 · derivative.exercise_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.

F3 · derivative.expiration_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.

SEC source: 0001225208-20-012209 · doc4.xml · derivative · entry 1

Ellis Stephen A · CIK 0001561563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,332.61

Underlying: Common Stock · 415 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of company stock.

F2 · shares: The restricted stock units were received pursuant to the Directors' Deferred Compensation Plan II (the "Plan") and are held in a rabbi trust for the benefit of the reporting person pursuant to the terms of the Plan.

F4 · price: The restricted stock units were received in lieu of cash compensation otherwise payable as director fees.

F3 · derivative.exercise_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.

F3 · derivative.expiration_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.

SEC source: 0001225208-20-012210 · doc4.xml · derivative · entry 1

Ruffel Charles A. · CIK 0001739929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,406

Underlying: Common Stock · 1,406 shares

Expires 2030-10-01

F1 · shares: The option was received pursuant to the Directors' Deferred Compensation Plan II and vests immediately.

F2 · price: The option was received in lieu of cash compensation otherwise payable as director fees.

SEC source: 0001225208-20-010293 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Limited Partnership

Disclosed balance after: 32,409,941

F1 · price: This transaction was executed in multiple trades at prices ranging from $34.06 to $34.21. 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: 0001225208-20-010114 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,056 shares

Expires 2020-08-02

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: 0001225208-20-010114 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 75,185,798

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 January 30, 2020.

F2 · price: This transaction was executed in multiple trades at prices ranging from $33.05 to $33.43. 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: 0001225208-20-010114 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 75,250,854

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: 0001225208-20-010077 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,056

Underlying: Common Stock · 65,056 shares

Expires 2020-08-02

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: 0001225208-20-010077 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 75,185,798

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 January 30, 2020.

F2 · price: This transaction was executed in multiple trades at prices ranging from $32.98 to $33.59. 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: 0001225208-20-010077 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 75,250,854

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: 0001225208-20-009900 · doc4.xml · nonDerivative · entry 1

Ruffel Charles A. · CIK 0001739929 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 5,408.8505

SEC source: 0001225208-20-009375 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 75,185,798

SEC source: 0001225208-20-009560 · doc4.xml · derivative · entry 1

Ruffel Charles A. · CIK 0001739929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,348

Underlying: Common Stock · 1,348 shares

Expires 2030-07-01

F1 · shares: The option was received pursuant to the Directors' Deferred Compensation Plan II and vests immediately.

F2 · price: The option was received in lieu of cash compensation otherwise payable as director fees.

SEC source: 0001225208-20-009561 · doc4.xml · derivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,453.64

Underlying: Common Stock · 1,023 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of company stock.

F2 · shares: The restricted stock units were received pursuant to the Directors' Deferred Compensation Plan II (the "Plan") and are held in a rabbi trust for the benefit of the reporting person pursuant to the terms of the Plan.

F4 · price: The restricted stock units were received in lieu of cash compensation otherwise payable as director fees.

F3 · derivative.exercise_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.

F3 · derivative.expiration_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.

SEC source: 0001561563-20-000001 · primary_doc.xml · derivative · entry 1

Ellis Stephen A · CIK 0001561563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,917.61

Underlying: Common Stock · 474 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of company stock.

F2 · shares: The restricted stock units were received pursuant to the Directors' Deferred Compensation Plan II (the "Plan") and are held in a rabbi trust for the benefit of the reporting person pursuant to the terms of the Plan.

F4 · price: The restricted stock units were received in lieu of cash compensation otherwise payable as director fees.

F3 · derivative.exercise_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.

F3 · derivative.expiration_date: The restricted stock units are held in a rabbi trust for the benefit of the reporting person and are distributed to the reporting person when he leaves the Board of Directors.

SEC source: 0001225208-20-008986 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 73,228,971

SEC source: 0001225208-20-008702 · doc4.xml · derivative · entry 4

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,326

Underlying: Common Stock · 3,163 shares

Expires 2022-10-01

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.

F4 · balance_after: The number reflects a correction of a clerical error included in the reporting person's original Form 3.

SEC source: 0001225208-20-008702 · doc4.xml · nonDerivative · entry 3

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 25, 2019.

F3 · price: This transaction was executed in multiple trades at prices ranging from $40.00 to $40.14. 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: 0001225208-20-008702 · doc4.xml · nonDerivative · entry 2

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 7,772

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 25, 2019.

F2 · price: This transaction was executed in multiple trades at prices ranging from $40.00 to $40.01. 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: 0001225208-20-008702 · doc4.xml · nonDerivative · entry 1

Craig Jonathan M. · CIK 0001733065 · Senior EVP

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 10,935

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: 0001225208-20-008348 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 73,327,407

SEC source: 0001225208-20-007925 · doc4.xml · derivative · entry 4

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2030-05-14

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007925 · doc4.xml · nonDerivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,167

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007926 · doc4.xml · derivative · entry 2

Dea Joan · CIK 0001643326 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2030-05-14

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007926 · doc4.xml · nonDerivative · entry 1

Dea Joan · CIK 0001643326 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,086

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007927 · doc4.xml · derivative · entry 2

ADAMS JOHN K JR · CIK 0001625471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2030-05-14

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007927 · doc4.xml · nonDerivative · entry 1

ADAMS JOHN K JR · CIK 0001625471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,372

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007928 · doc4.xml · derivative · entry 4

WALTHER ROGER O · CIK 0001188409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2030-05-14

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007928 · doc4.xml · nonDerivative · entry 1

WALTHER ROGER O · CIK 0001188409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,167

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007929 · doc4.xml · derivative · entry 3

SNEED PAULA A · CIK 0001193024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2030-05-14

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007929 · doc4.xml · nonDerivative · entry 1

SNEED PAULA A · CIK 0001193024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,167

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007930 · doc4.xml · derivative · entry 3

SARIN ARUN · CIK 0001188405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2030-05-14

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007930 · doc4.xml · nonDerivative · entry 1

SARIN ARUN · CIK 0001188405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,167

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007931 · doc4.xml · derivative · entry 4

Ruffel Charles A. · CIK 0001739929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2030-05-14

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007931 · doc4.xml · nonDerivative · entry 1

Ruffel Charles A. · CIK 0001739929 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,751

F1 · shares: The reported transaction constitutes a grant of restricted stock units, which were granted under the company's 2013 Stock Incentive Plan and vest 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.

SEC source: 0001225208-20-007932 · doc4.xml · derivative · entry 2

Haraf William S · CIK 0001632346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2030-05-14

F2 · derivative.exercise_date: The option was granted under the company's 2013 Stock Incentive Plan and vests 25% on the first and second anniversary of the grant date and 50% on the third anniversary of the grant date.