SCHWAB CHARLES CORP 10-Q

Item 5. Other Information 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: Plans Action Date Rule 10b5-1 (1) Non-Rule 10b5-1 (2) Number of Securities to be Sold (3) Latest Expiration John K. Adams, Jr. , Director Adoption August 28, 2023 X — 15,701 Close of trading on May 15, 2025 (1) Intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). (2) Not intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). (3) Securities to be sold under the plan represent shares acquired upon the exercise of stock options. - 71 - THE CHARLES SCHWAB CORPORATION Item 6. Exhibits The following exhibits are filed as part of this Quarterly Report on Form 10-Q: Exhibit Number Exhibit 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. 31.2 Certification Pursuant to Rule 13a-14(a)/15d-14(a), As Adopted Pursuant to Section 302 of The Sarbanes-Oxley Act of 2002. 32.1 Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of The Sarbanes-Oxley Act of 2002. (1) 32.2 Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of The Sarbanes-Oxley Act of 2002. (1) 101.INS Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. (2) 101.SCH Inline XBRL Taxonomy Extension Schema (2) 101.CAL Inline XBRL Taxonomy Extension Calculation (2) 101.DEF Inline XBRL Extension Definition (2) 101.LAB Inline XBRL Taxonomy Extension Label (2) 101.PRE Inline XBRL Taxonomy Extension Presentation (2) 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) (1) Furnished as an exhibit to this Quarterly Report on Form 10-Q. (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. - 72 - THE CHARLES SCHWAB CORPORATION SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. THE CHARLES SCHWAB CORPORATION (Registrant) Date: November 8, 2023 /s/ Peter Crawford Peter Crawford Managing Director and Chief Financial Officer - 73 -