SCHW

SEC source: 0001225208-17-000803 · doc4.xml · derivative · entry 1

Ellis Stephen A · CIK 0001561563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,543.61

Underlying: Common Stock · 389 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.

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: 0001225208-17-000804 · doc4.xml · nonDerivative · entry 1

MARTINETTO JOSEPH R · CIK 0001276501 · Senior EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,633

SEC source: 0001225208-17-000806 · doc4.xml · derivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,032

Underlying: Common Stock · 3,032 shares

Expires 2027-01-03

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

SEC source: 0001225208-16-043679 · doc4.xml · derivative · entry 6

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 320,649 shares

Expires 2021-08-01

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: 0001225208-16-043679 · doc4.xml · nonDerivative · entry 2

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,658.8859

F1 · date: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 30, 2016.

F2 · price: This transaction was executed in multiple trades at prices ranging from $40.35 to $40.365. 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: 0001225208-16-043679 · doc4.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 564,307.8859

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: 0001225208-16-043677 · doc4.xml · nonDerivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 69,929.424

SEC source: 0001225208-16-043625 · doc4.xml · derivative · entry 3

Chandoha Marie A · CIK 0001656828 · President - CSIM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,705

Underlying: Common Stock · 9,705 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: 0001225208-16-043625 · doc4.xml · nonDerivative · entry 2

Chandoha Marie A · CIK 0001656828 · President - CSIM

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 3,018

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 16, 2016.

F2 · price: This transaction was executed in multiple trades at prices ranging from $40.00 to $40.13. 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: 0001225208-16-043625 · doc4.xml · nonDerivative · entry 1

Chandoha Marie A · CIK 0001656828 · President - CSIM

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 12,723

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: 0001225208-16-043646 · doc4.xml · nonDerivative · entry 1

BECHTLE NANCY H · CIK 0001188400 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 209,983

SEC source: 0001225208-16-043577 · 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: 100,898,668

SEC source: 0001225208-16-043304 · doc4.xml · derivative · entry 6

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 206,092 shares

Expires 2021-03-01

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: 0001225208-16-043304 · doc4.xml · nonDerivative · entry 2

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,658.8859

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 30, 2016.

F2 · price: This transaction was executed in multiple trades at prices ranging from $39.85 to $39.86. 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: 0001225208-16-043304 · doc4.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 449,750.8859

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: 0001225208-16-043000 · doc4.xml · derivative · entry 6

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,092

Underlying: Common Stock · 68,667 shares

Expires 2021-03-01

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: 0001225208-16-043000 · doc4.xml · nonDerivative · entry 2

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,658.8859

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 30, 2016.

F2 · price: This transaction was executed in multiple trades at prices ranging from $39.85 to $39.89. 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: 0001225208-16-043000 · doc4.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,325.8859

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: 0001225208-16-042545 · doc4.xml · derivative · entry 3

Chandoha Marie A · CIK 0001656828 · President - CSIM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,134

Underlying: Common Stock · 15,133 shares

Expires 2023-03-01

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: 0001225208-16-042545 · doc4.xml · nonDerivative · entry 2

Chandoha Marie A · CIK 0001656828 · President - CSIM

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 3,018

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 16, 2016.

F2 · price: This transaction was executed in multiple trades at prices ranging from $38.83 to $39.50. 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: 0001225208-16-042545 · doc4.xml · nonDerivative · entry 1

Chandoha Marie A · CIK 0001656828 · President - CSIM

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 18,151

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: 0001225208-16-042554 · doc4.xml · derivative · entry 6

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 196,592 shares

Expires 2020-11-01

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: 0001225208-16-042554 · doc4.xml · nonDerivative · entry 2

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,658.8859

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 30, 2016.

F2 · price: This transaction was executed in multiple trades at prices ranging from $39.20 to $39.69. 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: 0001225208-16-042554 · doc4.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440,250.8859

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: 0001225208-16-042418 · doc4.xml · derivative · entry 6

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,592

Underlying: Common Stock · 56,423 shares

Expires 2020-11-01

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: 0001225208-16-042418 · doc4.xml · nonDerivative · entry 2

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,658.8859

F1 · price: This transaction was executed in multiple trades at prices ranging from $39.20 to $39.35. 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: 0001225208-16-042418 · doc4.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,081.8859

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: 0001225208-16-042457 · doc4.xml · nonDerivative · entry 2

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 97,302

SEC source: 0001225208-16-042457 · doc4.xml · nonDerivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 102,502

SEC source: 0001225208-16-042366 · 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: 101,158,668

F1 · price: This transaction was executed in multiple trades at prices ranging from $38.43 to $38.55. 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: 0001225208-16-042368 · doc4.xml · nonDerivative · entry 1

SARIN ARUN · CIK 0001188405 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 8,365

F1 · price: This transaction was executed in multiple trades at prices ranging from $38.545 to $38.64. 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: 0001225208-16-042193 · doc4.xml · derivative · entry 3

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,110

Underlying: Common Stock · 13,000 shares

Expires 2022-08-01

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.

F2 · derivative.exercise_date: The option was first exercisable on August 1, 2013.

SEC source: 0001225208-16-042193 · doc4.xml · nonDerivative · entry 2

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,862.7043

F1 · price: This transaction was executed in multiple trades at prices ranging from $38.755 to $38.885. 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: 0001225208-16-042193 · doc4.xml · nonDerivative · entry 1

Murtagh Nigel J · CIK 0001649599 · EVP - Corporate Risk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,862.7043

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: 0001225208-16-042280 · doc4.xml · derivative · entry 6

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,015

Underlying: Common Stock · 34,233 shares

Expires 2020-11-01

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: 0001225208-16-042280 · doc4.xml · nonDerivative · entry 2

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,658.8859

F1 · price: This transaction was executed in multiple trades at prices ranging from $39.20 to $39.22. 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: 0001225208-16-042280 · doc4.xml · nonDerivative · entry 1

Bettinger Walter W · CIK 0001296479 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,891.8859

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: 0001225208-16-042120 · 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: 101,174,668

SEC source: 0001225208-16-042181 · doc4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,500 shares

Expires 2021-11-01

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: 0001225208-16-042181 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,194 shares

Expires 2022-08-01

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: 0001225208-16-042181 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,562 shares

Expires 2022-03-01

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: 0001225208-16-042181 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 52,732.0696

F1 · price: This transaction was executed in multiple trades at prices ranging from $38.07 to $38.20. 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: 0001225208-16-042181 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 76,232.0696

F1 · price: This transaction was executed in multiple trades at prices ranging from $38.07 to $38.20. 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: 0001225208-16-042181 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 98,426.0696

F1 · price: This transaction was executed in multiple trades at prices ranging from $38.07 to $38.20. 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: 0001225208-16-042181 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 115,988.0696

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: 0001225208-16-042181 · 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: 98,426.0696

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: 0001225208-16-042181 · 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: 76,232.0696

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: 0001225208-16-042057 · 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: 101,193,668

SEC source: 0001225208-16-041976 · 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: 101,325,918

SEC source: 0001225208-16-042003 · doc4.xml · derivative · entry 12

Chandoha Marie A · CIK 0001656828 · President - CSIM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,279 shares

Expires 2021-11-01

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.