SCHW

SEC source: 0001225208-13-014632 · doc4.xml · derivative · entry 8

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,823

Underlying: Common Stock · 2,500 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: 0001225208-13-014632 · doc4.xml · nonDerivative · entry 2

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 90,067

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 May 30, 2013.

F2 · price: This transaction was executed in multiple trades at prices ranging from $20.71 to $20.74. 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: 0001225208-13-014632 · doc4.xml · nonDerivative · entry 1

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 92,567

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: 0001225208-13-013904 · doc4.xml · derivative · entry 6

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,470

Underlying: Common Stock · 13,823 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: 0001225208-13-013904 · doc4.xml · nonDerivative · entry 2

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 90,067

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 May 30, 2013.

F2 · price: This transaction was executed in multiple trades at prices ranging from $19.70 to $19.99. 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: 0001225208-13-013904 · doc4.xml · nonDerivative · entry 1

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 103,890

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: 0001225208-13-013753 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,986 shares

Expires 2013-10-30

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: 0001225208-13-013753 · 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: 73,825.8215

F1 · price: This transaction was executed in multiple trades at prices ranging from $20.04 to $20.38. 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: 0001225208-13-013753 · 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: 99,811.8215

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: 0001225208-13-013547 · doc4.xml · derivative · entry 6

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,523 shares

Expires 2013-10-30

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: 0001225208-13-013547 · doc4.xml · nonDerivative · entry 2

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 90,067

F1 · price: This transaction was executed in multiple trades at prices ranging from $19.845 to $19.99. 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: 0001225208-13-013547 · doc4.xml · nonDerivative · entry 1

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 132,590

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: 0001225208-13-013548 · doc4.xml · derivative · entry 5

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,436 shares

Expires 2013-10-30

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: 0001225208-13-013548 · doc4.xml · nonDerivative · entry 2

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,431.3761

F1 · price: This transaction was executed in multiple trades at prices ranging from $19.85 to $19.895. 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: 0001225208-13-013548 · doc4.xml · nonDerivative · entry 1

McCool James D · CIK 0001389181 · EVP - Client Solutions

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,867.3761

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: 0001225208-13-013549 · 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: 73,825.8215

F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 29, 2012.

SEC source: 0001225208-13-012938 · doc4.xml · derivative · entry 4

Clendening John S · CIK 0001388961 · EVP - Investor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 47,247 shares

Expires 2013-10-30

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: 0001225208-13-012938 · doc4.xml · nonDerivative · entry 2

Clendening John S · CIK 0001388961 · EVP - Investor Services

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 49,595

F1 · price: This transaction was executed in multiple trades at prices ranging from $19.07 to $19.21. 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: 0001225208-13-012938 · doc4.xml · nonDerivative · entry 1

Clendening John S · CIK 0001388961 · EVP - Investor Services

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 96,842

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: 0001225208-13-012931 · doc4.xml · derivative · entry 3

BECHTLE NANCY H · CIK 0001188400 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012931 · doc4.xml · nonDerivative · entry 1

BECHTLE NANCY H · CIK 0001188400 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,533

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: 0001225208-13-012932 · doc4.xml · derivative · entry 4

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012932 · doc4.xml · nonDerivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,478

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: 0001225208-13-012933 · doc4.xml · derivative · entry 4

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012933 · doc4.xml · nonDerivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,478

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: 0001225208-13-012934 · doc4.xml · derivative · entry 3

MCLIN STEPHEN T · CIK 0001188403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012934 · doc4.xml · nonDerivative · entry 1

MCLIN STEPHEN T · CIK 0001188403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,387

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: 0001225208-13-012935 · doc4.xml · derivative · entry 3

SARIN ARUN · CIK 0001188405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012935 · doc4.xml · nonDerivative · entry 1

SARIN ARUN · CIK 0001188405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,478

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: 0001225208-13-012936 · doc4.xml · derivative · entry 3

SNEED PAULA A · CIK 0001193024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012936 · doc4.xml · nonDerivative · entry 1

SNEED PAULA A · CIK 0001193024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,478

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: 0001225208-13-012937 · doc4.xml · derivative · entry 4

WALTHER ROGER O · CIK 0001188409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012937 · doc4.xml · nonDerivative · entry 1

WALTHER ROGER O · CIK 0001188409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,478

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: 0001225208-13-012939 · doc4.xml · derivative · entry 2

Ellis Stephen A · CIK 0001561563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012939 · doc4.xml · nonDerivative · entry 1

Ellis Stephen A · CIK 0001561563 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,401

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: 0001225208-13-012940 · doc4.xml · derivative · entry 2

Goldfarb Mark A · CIK 0001562215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012940 · doc4.xml · nonDerivative · entry 1

Goldfarb Mark A · CIK 0001562215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,022

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: 0001225208-13-012941 · doc4.xml · derivative · entry 2

WILSON ROBERT N · CIK 0001189022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,345

Underlying: Common Stock · 14,345 shares

Expires 2023-05-20

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: 0001225208-13-012941 · doc4.xml · nonDerivative · entry 1

WILSON ROBERT N · CIK 0001189022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,414

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: 0001225208-13-012864 · doc4.xml · nonDerivative · entry 1

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 90,067

F1 · price: This transaction was executed in multiple trades at prices ranging from $18.88 to $19.19. 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: 0001225208-13-012865 · doc4.xml · derivative · entry 4

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,262 shares

Expires 2013-10-30

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: 0001225208-13-012865 · doc4.xml · nonDerivative · entry 2

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 30,966.6945

F1 · price: This transaction was executed in multiple trades at prices ranging from $19.11 to $19.20. 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: 0001225208-13-012865 · doc4.xml · nonDerivative · entry 1

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 52,228.6945

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: 0001225208-13-012866 · doc4.xml · derivative · entry 4

MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,789 shares

Expires 2013-10-30

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: 0001225208-13-012866 · doc4.xml · nonDerivative · entry 2

MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,615

F1 · price: This transaction was executed in multiple trades at prices ranging from $19.15 to $19.17. 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: 0001225208-13-012866 · doc4.xml · nonDerivative · entry 1

MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,404

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: 0001225208-13-012867 · 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 · 141,743 shares

Expires 2013-10-30

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: 0001225208-13-012867 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 540,645.8859

F1 · price: This transaction was executed in multiple trades at prices ranging from $19.17 to $19.19. 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: 0001225208-13-012867 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 682,388.8859

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: 0001225208-13-012410 · doc4.xml · nonDerivative · entry 1

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 30,966.6945

F1 · price: This transaction was executed in multiple trades at prices ranging from $18.87 to $18.871. 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.