Other Information
−Removed: During the three months ended June 30, 2023, no director or officer of the Company adopted or terminated a Rule 10b5-1 or non-Rule 10b5-1 trading arrangement as defined in Item 408 of Regulation S-K .
+Added: During the three months ended September 30, 2023, certain of our officers and directors adopted or terminated trading arrangements for the sale of shares of our common stock as follows:
+Added: Action Date Rule 10b5-1 (1)
+Added: Non-Rule 10b5-1 (2)
+Added: Number of Securities to
+Added: Latest Expiration
+Added: Adoption August 28, 2023 X — 15,701 Close of trading on
+Added: (1) Intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
+Added: (2) Not intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
+Added: (3) Securities to be sold under the plan represent shares acquired upon the exercise of stock options.
THE CHARLES SCHWAB CORPORATION
1 unchanged sentence
Number Exhibit
−Removed: 10.431 Second Amended and Restated Insured Deposit Account Agreement, dated May 4, 2023, by and among TD Bank USA, National Association and TD Bank, National Association, and The Charles Schwab Corporation, Charles Schwab & Co., Inc., Charles Schwab Trust Bank, TD Ameritrade, Inc., and TD Ameritrade Clearing, Inc.
−Removed: (incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on May 5, 2023).
31.1 Certification Pursuant to Rule 13a-14(a)/15d-14(a), As Adopted Pursuant to Section 302 of The Sarbanes-Oxley Act of 2002.
12 unchanged sentences
(1) Furnished as an exhibit to this Quarterly Report on Form 10-Q.
−Removed: (2) Attached as Exhibit 101 to this Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2023 are the following materials formatted in Inline XBRL (Extensible Business Reporting Language) (i) the Condensed Consolidated Statements of Income, (ii) the Condensed Consolidated Statements of Comprehensive Income, (iii) the Condensed Consolidated Balance Sheets, (iv) the Condensed Consolidated Statements of Stockholders’ Equity, (v) the Condensed Consolidated Statements of Cash Flows, and (vi) Notes to Condensed Consolidated Financial Statements.
−Removed: ** Certain confidential information contained in this exhibit has been omitted because it is not material and would be competitively harmful if publicly disclosed.
+Added: (2) Attached as Exhibit 101 to this Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2023 are the following materials formatted in Inline XBRL (Extensible Business Reporting Language) (i) the Condensed Consolidated Statements of Income, (ii) the Condensed Consolidated Statements of Comprehensive Income, (iii) the Condensed Consolidated Balance Sheets, (iv) the Condensed Consolidated Statements of Stockholders’ Equity, (v) the Condensed Consolidated Statements of Cash Flows, and (vi) Notes to Condensed Consolidated Financial Statements.
THE CHARLES SCHWAB CORPORATION
1 unchanged sentence
THE CHARLES SCHWAB CORPORATION
−Removed: August 8, 2023 /s/ Peter Crawford
+Added: November 8, 2023 /s/ Peter Crawford
Peter Crawford
1 unchanged sentence
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.