Welcome to our dedicated page for Schwab (CHARLES) (The) SEC filings (Ticker: SCHW), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Charles Schwab Corporation (NYSE: SCHW) files a range of documents with the U.S. Securities and Exchange Commission that provide detailed information about its financial condition, capital structure, and material events. This page aggregates Schwab’s SEC filings and pairs them with AI-powered summaries to help readers understand the key points in lengthy regulatory documents.
For Schwab, core filings include annual reports on Form 10-K and quarterly reports on Form 10-Q, which describe its brokerage, banking, asset management, custody, and financial advisory operations, along with risk factors, management’s discussion and analysis, and segment information. Current reports on Form 8-K disclose specific events, such as quarterly earnings releases, the issuance of senior notes under a shelf registration statement, and definitive agreements for acquisitions like the announced agreement to acquire Forge Global Holdings, Inc.
Schwab also maintains registration statements, such as its Form S-3 shelf registration used for offerings of senior notes and other securities, and exhibits that include underwriting agreements, indentures, supplemental indentures, and legal opinions. Filings related to its listed securities cover its common stock and depositary shares representing interests in preferred stock series that trade on the New York Stock Exchange.
On this page, users can quickly access new and historical filings, including 10-K and 10-Q reports, 8-K current reports, and other registration and exhibit documents. AI-generated overviews highlight important disclosures, summarize complex capital markets transactions, and clarify technical language, while links to Form 4 and other ownership reports make it easier to review insider transactions and equity awards. Real-time updates from EDGAR ensure that investors, analysts, and researchers can review Schwab’s regulatory history and recent disclosures in one organized location.
The Charles Schwab Corporation is asking stockholders to vote at its 2026 virtual annual meeting on electing four directors, ratifying Deloitte as auditor, approving executive pay on an advisory basis, and declassifying the board.
The declassification plan would phase out staggered terms and move to annual director elections by the 2029 meeting. Schwab highlights 2025 as a record year, with strong client growth and an adjusted diluted EPS of $4.87 versus a $4.18 target, leading to annual cash incentive funding at 116.5% of target for named executives. As of December 31, 2025, Schwab reports $11.9 trillion in client assets, 38.5 million active brokerage accounts and 2.2 million banking accounts, and emphasizes a pay-for-performance program where most executive compensation is variable and equity-based.
Brown Marianne Catherine reported acquisition or exercise transactions in this Form 4 filing.
Charles Schwab director Marianne Catherine Brown received 434 Restricted Stock Units (RSUs) as a grant under the company's Directors' Deferred Compensation Plan II. Each RSU represents one share of common stock and was taken in lieu of cash director fees.
The RSUs are held in a rabbi trust for her benefit and will be distributed when she leaves the Board of Directors, deferring receipt of the shares until that time. Following this award and prior dividend reinvestments, she now holds a total of 7,823.67 RSUs.
Director Charles A. Ruffel of Schwab Charles Corp received a grant of 1,286 nonqualified stock options on April 1, 2026. Each option allows him to buy one share of common stock at an exercise price of $92.36 per share.
The options were granted under the Directors' Deferred Compensation Plan II, vested immediately, and were received in lieu of cash director fees. This is a compensation-related award rather than an open-market stock purchase or sale.
HERRINGER FRANK C reported acquisition or exercise transactions in this Form 4 filing.
Schwab Charles Corp director Frank C. Herringer reported receiving 474 restricted stock units (RSUs) on April 1, 2026. Each RSU represents a right to receive one share of Schwab common stock and was granted in lieu of cash director fees under the Directors' Deferred Compensation Plan II.
The RSUs are held in a rabbi trust for his benefit and will be distributed when he leaves the Board of Directors. Following this award and prior accruals, including 500.51 RSUs from dividend reinvestment, he holds a total of 151,757.24 RSUs directly.
Charles Schwab Corporation director Stephen A. Ellis received a grant of 393 restricted stock units (RSUs) on company stock as a compensation award. Each RSU represents the right to receive one share of common stock. The RSUs were issued under the Directors' Deferred Compensation Plan II in lieu of cash director fees and are held in a rabbi trust for his benefit, to be distributed when he leaves the Board of Directors. Following this award, Ellis holds a total of 12,851.98 RSUs, which includes 41.22 RSUs acquired through dividend reinvestment.
The Charles Schwab Corporation is soliciting proxies for its 2026 Annual Meeting of Stockholders to be held virtually on May 21, 2026. Stockholders of record as of March 23, 2026 may vote. The meeting agenda includes election of four directors, ratification of Deloitte as independent auditors, advisory approval of named executive officer compensation, and a proposal to declassify the board over a three-year phase-out.
Highlights disclosed include $11.9 trillion in client assets as of December 31, 2025, 38.5 million active brokerage accounts, and executive compensation actions: the Compensation Committee certified annual cash incentive funding at 116.51% based on adjusted diluted EPS of $4.87 versus a target of $4.18. The board reduced its authorized size from 14 to 13 effective at the meeting and approved modest increases to non-employee director compensation effective January 1, 2026 (cash retainer to $110,000 and annual equity grant to $240,000).
The Vanguard Group filed Amendment No. 10 to a Schedule 13G/A for Charles Schwab Corp. reporting 0 shares beneficially owned, representing 0% of the common stock. The filing notes an internal realignment effective January 12, 2026 that disaggregated certain subsidiaries' holdings for separate reporting. The form is signed by Ashley Grim, Head of Global Fund Administration, dated 03/26/2026.
Charles Schwab director Stephen A. Ellis exercised stock options to acquire additional common shares. On March 24, 2026 he exercised options on 9,765 shares of Charles Schwab common stock at exercise prices of $28.38 and $28.96 per share, fully converting these option grants into shares.
Following the transactions, Ellis held 6,660 shares of common stock directly. A footnote explains that shares received upon exercise were contributed to a revocable trust, which held 97,327.5296 Charles Schwab common shares indirectly on his behalf. The filing shows only option exercises and related transfers, with no open-market share sales.
Schwab Chief Risk Officer Nigel J. Murtagh reported selling 7,203 shares of Charles Schwab common stock in open-market transactions. The sales occurred on March 3, 2026 in two trades: 4,463 shares at a weighted average price of $94.4274 and 2,740 shares at $94.8993.
The filing notes these sales were made under a Rule 10b5-1 trading plan adopted on November 25, 2025. After the transactions, Murtagh directly holds 57,972.4846 shares of Schwab common stock and indirectly holds 2,484 shares through an employee stock purchase plan, based on a plan statement as of January 30, 2026.