SCHW

SEC source: 0001225208-09-021604 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 685,241

Underlying: Common Stock · 685,241 shares

Expires 2019-11-02

F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-09-021605 · doc4.xml · derivative · entry 1

MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,507

Underlying: Common Stock · 126,507 shares

Expires 2019-11-02

F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-09-021606 · doc4.xml · derivative · entry 1

Allen Jay L · CIK 0001416062 · EVP - Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,067

Underlying: Common Stock · 79,067 shares

Expires 2019-11-02

F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-09-021607 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,266

Underlying: Common Stock · 316,266 shares

Expires 2019-11-02

F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-09-021608 · doc4.xml · derivative · entry 1

Brigeman Benjamin L · CIK 0001404768 · EVP - Investor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,862

Underlying: Common Stock · 152,862 shares

Expires 2019-11-02

F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-09-021609 · doc4.xml · derivative · entry 1

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,422

Underlying: Common Stock · 105,422 shares

Expires 2019-11-02

F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-09-021610 · doc4.xml · derivative · entry 1

McCool James D · CIK 0001389181 · EVP - Institutional Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,591

Underlying: Common Stock · 147,591 shares

Expires 2019-11-02

F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-09-021611 · doc4.xml · derivative · entry 1

Saeger Rebecca · CIK 0001311379 · EVP & Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,067

Underlying: Common Stock · 79,067 shares

Expires 2019-11-02

F1 · derivative.exercise_date: The option was granted under the company's 2004 Stock Incentive Plan and vests in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001225208-09-021382 · doc4.xml · nonDerivative · entry 1

MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,303

SEC source: 0001225208-09-021383 · doc4.xml · nonDerivative · entry 1

Brigeman Benjamin L · CIK 0001404768 · EVP - Investor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,226.609

SEC source: 0001225208-09-020010 · doc4.xml · nonDerivative · entry 1

Brigeman Benjamin L · CIK 0001404768 · EVP - Investor Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,727.609

SEC source: 0001225208-09-020053 · doc4.xml · derivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,167

Underlying: Common Stock · 4,167 shares

Expires 2019-10-01

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

SEC source: 0001225208-09-020054 · doc4.xml · derivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,349

Underlying: Common Stock · 1,349 shares

Expires not disclosed

F1 · 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.

F2 · 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: 0001225208-09-020057 · doc4.xml · derivative · entry 1

MCLIN STEPHEN T · CIK 0001188403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,093

Underlying: Common Stock · 5,093 shares

Expires 2019-10-01

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

SEC source: 0001225208-09-017934 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,349,020

SEC source: 0001225208-09-018054 · 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: 41,111,990

F1 · kind: These shares were distributed by a family limited partnership over which the reporting person has control to the reporting person's son and represent a portion of his son's pro rata interest in the shares of issuer stock owned by the partnership. The shares were initially distributed to a trust for the benefit of the son over which the reporting person serves as trustee, and the trust distributed the shares to a separate account for the son. The reporting person disclaims beneficial ownership of the shares owned by his son.

SEC source: 0001225208-09-017934 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,409,020

SEC source: 0001225208-09-017934 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,469,020

SEC source: 0001225208-09-017934 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,529,020

SEC source: 0001225208-09-017934 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,589,020

SEC source: 0001225208-09-014938 · doc4.xml · derivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,336

Underlying: Common Stock · 4,336 shares

Expires 2019-07-01

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

SEC source: 0001225208-09-014951 · doc4.xml · derivative · entry 1

MCLIN STEPHEN T · CIK 0001188403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,299

Underlying: Common Stock · 5,299 shares

Expires 2019-07-01

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

SEC source: 0001225208-09-014955 · doc4.xml · derivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,451

Underlying: Common Stock · 1,451 shares

Expires not disclosed

F1 · shares: The restricted stock units were received pursuant to the Directors' Deferred Compensation Plan II (the "Plan") and are held in a rabbi trsut for the benefit of the reporting person pursuant to the terms of the Plan.

F2 · 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: 0001074607-09-000002 · edgar.xml · derivative · entry 2

ALDINGER WILLIAM F III · CIK 0001074607 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F3 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001074607-09-000002 · edgar.xml · nonDerivative · entry 1

ALDINGER WILLIAM F III · CIK 0001074607 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,898

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 2,597 shares held in trust.

SEC source: 0000902189-09-000002 · edgar.xml · derivative · entry 2

FISHER DONALD G · CIK 0000902189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F3 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0000902189-09-000002 · edgar.xml · nonDerivative · entry 1

FISHER DONALD G · CIK 0000902189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,398

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 3,606,096 shares held in trust.

SEC source: 0001171694-09-000006 · edgar.xml · derivative · entry 2

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F3 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001171694-09-000006 · edgar.xml · nonDerivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,398

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 50,625 shares held by his spouse, 150 shares held by his spouse as custodian and 63,078 shares held in trust.

SEC source: 0001188400-09-000002 · edgar.xml · derivative · entry 2

BECHTLE NANCY H · CIK 0001188400 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F3 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001188400-09-000002 · edgar.xml · nonDerivative · entry 1

BECHTLE NANCY H · CIK 0001188400 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,453

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 192,555 shares held in trust.

SEC source: 0001188403-09-000006 · edgar.xml · derivative · entry 2

MCLIN STEPHEN T · CIK 0001188403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F3 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001188403-09-000006 · edgar.xml · nonDerivative · entry 1

MCLIN STEPHEN T · CIK 0001188403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,531

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 103,694 shares held in trust.

SEC source: 0001188402-09-000006 · edgar.xml · derivative · entry 2

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F3 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001188402-09-000006 · edgar.xml · nonDerivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,398

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 290,040.11 shares held by his spouse and 910,409.07 shares held in trust.

SEC source: 0001188409-09-000002 · edgar.xml · derivative · entry 2

WALTHER ROGER O · CIK 0001188409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F3 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001188409-09-000002 · edgar.xml · nonDerivative · entry 1

WALTHER ROGER O · CIK 0001188409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,398

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 28,319.51 shares held by his spouse and 162,601.53 shares held in trust.

SEC source: 0001189022-09-000002 · edgar.xml · derivative · entry 2

WILSON ROBERT N · CIK 0001189022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F3 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001189022-09-000002 · edgar.xml · nonDerivative · entry 1

WILSON ROBERT N · CIK 0001189022 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,657

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

F2 · balance_after: The reporting person also has an indirect beneficial ownership interest in 1,300 shares held by his spouse as custodian.

SEC source: 0001193024-09-000002 · edgar.xml · derivative · entry 2

SNEED PAULA A · CIK 0001193024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,356

Underlying: Common Stock · 8,356 shares

Expires 2019-05-18

F2 · derivative.exercise_date: The option was granted under the Company's 2004 Stock Incentive Plan and vests 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001193024-09-000002 · edgar.xml · nonDerivative · entry 1

SNEED PAULA A · CIK 0001193024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,760.55

F1 · shares: The shares were granted under the Company's 2004 Stock Incentive Plan and vest 25% on the first and second anniversary of the date of grant and 50% on the third anniversary of the date of grant.

SEC source: 0001276501-09-000001 · edgar.xml · nonDerivative · entry 1

MARTINETTO JOSEPH R · CIK 0001276501 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,865

F1 · balance_after: The reporting person also has an indirect beneficial ownership interest in 562.61 shares held by an ESOP.

SEC source: 0000923738-09-000002 · edgar.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: 41,406,270

F1 · price: This transaction was executed in multiple trades at prices ranging from $17.89 to $18.755. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: The reporting person also has a direct beneficial ownership interest in 6,649,020 shares and an in indirect beneficial ownership interest in 133,720,887 shares held in trust, and 6,965,465 shares held by his spouse.

SEC source: 0001171694-09-000004 · edgar.xml · derivative · entry 1

HERRINGER FRANK C · CIK 0001171694 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,617

Underlying: Common Stock · 1,617 shares

Expires not disclosed

F1 · 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.

F2 · 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: 0001188402-09-000004 · edgar.xml · derivative · entry 1

BUTCHER C PRESTON · CIK 0001188402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,698

Underlying: Common Stock · 4,698 shares

Expires 2019-04-01

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

SEC source: 0001188403-09-000004 · edgar.xml · derivative · entry 1

MCLIN STEPHEN T · CIK 0001188403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,742

Underlying: Common Stock · 5,742 shares

Expires 2019-04-01

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

SEC source: 0001296424-09-000002 · edgar.xml · nonDerivative · entry 5

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · In Trust for Son

Disclosed balance after: 8,805

F2 · balance_after: In addition to the shares reported in Table I, the reporting person also has an indirect beneficial ownership interest in 1,144 shares held by an ESOP.

SEC source: 0001296424-09-000002 · edgar.xml · nonDerivative · entry 4

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · In Trust for Daughter

Disclosed balance after: 8,805

SEC source: 0001296424-09-000002 · edgar.xml · nonDerivative · entry 3

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,535

SEC source: 0001296424-09-000002 · edgar.xml · nonDerivative · entry 2

Dwyer Carrie E · CIK 0001296424 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,535

F1 · price: This transaction was executed in multiple trades at prices ranging from $12.78 to $13.13. The price reported above 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.