CHARLES SCHWAB INVESTMENT MANAGEMENT INC

HTTPS://SI2.SCHWABINSTITUTIONAL.COM SAN FRANCISCO, CA Investment Advisor How do I update this listing?

Charles Schwab Investment Management is based out of San Francisco. Charles Schwab Investment Management is a large advisory firm with 130 clients and discretionary assets under management (AUM) of $358,131,342,771 (Form ADV from 2018-10-01). Their last reported 13F filing for Q3 2019 included $169,444,526,000 in managed 13F securities and a top 10 holdings concentration of 14.9%. Charles Schwab Investment Management's largest holding is Microsoft Corp. with shares held of 35,036,012. Whalewisdom has at least 83 13F filings, and 1 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $169.445 Billion
  • Prior Market Value $164.402 Billion
  • New Purchases50 stocks
  • Additional Purchases2253 stocks
  • Sold out of84 stocks
  • Reduced holdings in523 stocks
  • Top 10 Holdings % 14.90 %
  • Turnover % [1]:4.22%
  • Turnover Alt % [2]: 3.92 %
  • Time Held Top20:33.05 quarters
  • Time Held Top10:16.90 quarters
  • Time Held All:36.97 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 8.44%
Performance Last 4 Quarters: 14.24%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR/A (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
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  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR/A (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
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  • 2010-12-31 - 13F-HR (Subscription required)
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  • 2009-12-31 - 13F-HR (Subscription required)
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  • 2003-12-31 - 13F-HR (Subscription required)
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  • 2003-03-31 - 13F-HR (Subscription required)
  • 2002-12-31 - 13F-HR (Subscription required)
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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
AMERICAN CENTURY COMPANIES INC
BlackRock Investment Management, LLC
BLAIR WILLIAM CO/IL
HARRIS ASSOCIATES L P
MELLON INVESTMENTS Corp
Mondrian Investment Partners LTD

View Last Form Adv Compilation Report on Record

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC
211 MAIN STREET
SAN FRANCISCO CA    94105
Country: United States

Business Phone: 415-667-9200
Fax: 415-667-1430
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 492
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,COSTS
Amount of client funds and securities: 1,946,840,000
Total Number of Clients: 130
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.H (1).(b)
Data above was derived from SEC filings.

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CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
THE CHARLES SCHWAB CORPORATION 100% OWNER OF REGISTRANT 10/01/1989 Direct 75% or more
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. SHAREHOLDER indirect 1987-03-01
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 1987-03-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1987-03-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC 100% OWNER OF REGISTRANT direct 1989-10-01
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
U.S. TRUST COMPANY PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
RESOURCE CAPITAL ADVISERS INC PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
401(K) INVESTMENT ADVISORS, INC. PARENT indirect 2007-03-01
CHARLES SCHWAB INVESTMENT ADVISORY, INC. 100 % OWNER direct 2010-01-01
BROKERSXPRESS LLC HOLDING COMPANY ACQUIRED OUR HOLDING COMPANY indirect 2011-09-01
THOMASPARTNERS, INC. 100% OWNER direct 2012-12-01
SCHWAB WEALTH INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 2014-11-01
CTC CONSULTING, INC. INDIRECT SHAREHOLDER indirect 2000-05-01 2001-02-23
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-10
UNITED STATES TRUST COMPANY OF NEW YORK PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
U.S TRUST COMPANY, NATIONAL ASSOCIATION PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
U.S. TRUST COMPANY PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
CTC CONSULTING, INC. DIRECT SHAREHOLDER OF U.S. TRUST CORPORATION indirect 2000-05-01 2001-07-26
NCT OPPORTUNITIES INC SHAREHOLDER indirect 2000-06-01 2002-04-01
PERSIMMON RESEARCH PARTNERS INC CONVERTIBLE NOTE HOLDER direct 2001-10-01 2002-08-27
U.S TRUST COMPANY, NATIONAL ASSOCIATION PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
UNITED STATES TRUST COMPANY OF NEW YORK PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
CTC CONSULTING, INC. PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
NCT OPPORTUNITIES INC PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-06-01 2007-05-10
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. 100% OWNER direct 2012-01-01 2013-03-28
SCHWAB WEALTH INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 1987-03-01 2015-02-20
PEREIRA, GEORGE, MANUEL SVP, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER 11/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER direct 2004-11-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF FINANCIAL OFFICER direct 2004-11-01
UST ADVISERS, INC. CFO, MUTUAL FUND DIVISION direct 2006-03-01
HOGAN, MICHAEL, FREDERICK SVP AND CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC VP AND CHIEF COMPLIANCE OFFICER direct 2009-07-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF COMPLIANCE OFFICER direct 2014-01-01
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT CHIEF COMPLIANCE OFFICER direct 2004-08-01
LEKICH, DAVID, JOHN SENIOR VICE PRESIDENT AND CHIEF COUNSEL 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC VICE PRESIDENT AND ACTING CHIEF COUNSEL direct 2011-04-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF COUNSEL direct 2011-09-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF COUNSEL direct 2011-10-01
AGUILAR CHAVEZ, OMAR SVP AND CHIEF INVESTMENT OFFICER - EQUITIES AND MULTI-ASSET STRATEGIES 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - EQUITIES direct 2011-04-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF INVESTMENT OFFICER - EQUITIES AND MULTI-ASSET STRATEGIES direct 2016-07-01
LEHMAN BROTHERS FUTURE ASSET MANAGEMENT CORP/NY DIRECTOR direct 2004-03-01
WANDER, BRETT, HARLAN SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - FIXED INCOME 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - FIXED INCOME direct 2011-06-01
BETTINGER, WALTER, WILLIAM DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. EXECUTIVE VICE PRESIDENT - INVESTOR CENTER NETWORK direct 2004-06-01
CHARLES SCHWAB & CO., INC. EVP, PRESIDENT AND CHIEF OPERATING OFFICER direct 2005-11-01
CHARLES SCHWAB & CO., INC. EVP AND PRESIDENT OF INDIVIDUAL INVESTOR ENTERPRISE direct 2005-11-01
CHARLES SCHWAB & CO., INC. PRESIDENT AND CEO direct 2008-10-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC DIRECTOR direct 2016-07-01
CRAWFORD, PETER, BROOKS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. EVP AND CHIEF FINANCIAL OFFICER direct 2017-05-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC DIRECTOR direct 2016-07-01
DE ST PAER, JONATHAN, CHRISTIAN DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC PRESIDENT direct 2018-10-01

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

ownership team - last updated 2018-11-29
Name Title Start Date Direct/Indirect % Ownership
THE CHARLES SCHWAB CORPORATION 100% OWNER OF REGISTRANT 10/01/1989 Direct 75% or more
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. SHAREHOLDER indirect 1987-03-01
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 1987-03-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1987-03-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC 100% OWNER OF REGISTRANT direct 1989-10-01
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
U.S. TRUST COMPANY PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
RESOURCE CAPITAL ADVISERS INC PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
401(K) INVESTMENT ADVISORS, INC. PARENT indirect 2007-03-01
CHARLES SCHWAB INVESTMENT ADVISORY, INC. 100 % OWNER direct 2010-01-01
BROKERSXPRESS LLC HOLDING COMPANY ACQUIRED OUR HOLDING COMPANY indirect 2011-09-01
THOMASPARTNERS, INC. 100% OWNER direct 2012-12-01
SCHWAB WEALTH INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 2014-11-01
CTC CONSULTING, INC. INDIRECT SHAREHOLDER indirect 2000-05-01 2001-02-23
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-10
UNITED STATES TRUST COMPANY OF NEW YORK PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
U.S TRUST COMPANY, NATIONAL ASSOCIATION PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
U.S. TRUST COMPANY PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
CTC CONSULTING, INC. DIRECT SHAREHOLDER OF U.S. TRUST CORPORATION indirect 2000-05-01 2001-07-26
NCT OPPORTUNITIES INC SHAREHOLDER indirect 2000-06-01 2002-04-01
PERSIMMON RESEARCH PARTNERS INC CONVERTIBLE NOTE HOLDER direct 2001-10-01 2002-08-27
U.S TRUST COMPANY, NATIONAL ASSOCIATION PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
UNITED STATES TRUST COMPANY OF NEW YORK PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
CTC CONSULTING, INC. PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
NCT OPPORTUNITIES INC PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-06-01 2007-05-10
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. 100% OWNER direct 2012-01-01 2013-03-28
SCHWAB WEALTH INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 1987-03-01 2015-02-20
PEREIRA, GEORGE, MANUEL SVP, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER 11/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER direct 2004-11-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF FINANCIAL OFFICER direct 2004-11-01
UST ADVISERS, INC. CFO, MUTUAL FUND DIVISION direct 2006-03-01
HOGAN, MICHAEL, FREDERICK SVP AND CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC VP AND CHIEF COMPLIANCE OFFICER direct 2009-07-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF COMPLIANCE OFFICER direct 2014-01-01
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT CHIEF COMPLIANCE OFFICER direct 2004-08-01
CHANDOHA, MARIE, ANASTASIA DIRECTOR AND CHIEF EXECUTIVE OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2010-12-01
LEKICH, DAVID, JOHN SENIOR VICE PRESIDENT AND CHIEF COUNSEL 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC VICE PRESIDENT AND ACTING CHIEF COUNSEL direct 2011-04-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF COUNSEL direct 2011-09-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF COUNSEL direct 2011-10-01
AGUILAR CHAVEZ, OMAR SVP AND CHIEF INVESTMENT OFFICER - EQUITIES AND MULTI-ASSET STRATEGIES 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - EQUITIES direct 2011-04-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF INVESTMENT OFFICER - EQUITIES AND MULTI-ASSET STRATEGIES direct 2016-07-01
LEHMAN BROTHERS FUTURE ASSET MANAGEMENT CORP/NY DIRECTOR direct 2004-03-01
WANDER, BRETT, HARLAN SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - FIXED INCOME 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - FIXED INCOME direct 2011-06-01
BETTINGER, WALTER, WILLIAM DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. EXECUTIVE VICE PRESIDENT - INVESTOR CENTER NETWORK direct 2004-06-01
CHARLES SCHWAB & CO., INC. EVP, PRESIDENT AND CHIEF OPERATING OFFICER direct 2005-11-01
CHARLES SCHWAB & CO., INC. EVP AND PRESIDENT OF INDIVIDUAL INVESTOR ENTERPRISE direct 2005-11-01
CHARLES SCHWAB & CO., INC. PRESIDENT AND CEO direct 2008-10-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC DIRECTOR direct 2016-07-01
CRAWFORD, PETER, BROOKS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. EVP AND CHIEF FINANCIAL OFFICER direct 2017-05-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC DIRECTOR direct 2016-07-01
DE ST PAER, JONATHAN, CHRISTIAN PRESIDENT 10/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC PRESIDENT direct 2018-10-01

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

ownership team - last updated 2017-09-25
Name Title Start Date Direct/Indirect % Ownership
CRAWFORD, PETER, BROOKS DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. EVP AND CHIEF FINANCIAL OFFICER direct 2017-05-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC DIRECTOR direct 2016-07-01
BETTINGER, WALTER, WILLIAM DIRECTOR 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. EXECUTIVE VICE PRESIDENT - INVESTOR CENTER NETWORK direct 2004-06-01
CHARLES SCHWAB & CO., INC. EVP, PRESIDENT AND CHIEF OPERATING OFFICER direct 2005-11-01
CHARLES SCHWAB & CO., INC. EVP AND PRESIDENT OF INDIVIDUAL INVESTOR ENTERPRISE direct 2005-11-01
CHARLES SCHWAB & CO., INC. PRESIDENT AND CEO direct 2008-10-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC DIRECTOR direct 2016-07-01
WANDER, BRETT, HARLAN SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - FIXED INCOME 06/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - FIXED INCOME direct 2011-06-01
AGUILAR CHAVEZ, OMAR SVP AND CHIEF INVESTMENT OFFICER - EQUITIES AND MULTI-ASSET STRATEGIES 07/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER - EQUITIES direct 2011-04-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF INVESTMENT OFFICER - EQUITIES AND MULTI-ASSET STRATEGIES direct 2016-07-01
LEHMAN BROTHERS FUTURE ASSET MANAGEMENT CORP/NY DIRECTOR direct 2004-03-01
LEKICH, DAVID, JOHN SENIOR VICE PRESIDENT AND CHIEF COUNSEL 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC VICE PRESIDENT AND ACTING CHIEF COUNSEL direct 2011-04-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF COUNSEL direct 2011-09-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SENIOR VICE PRESIDENT AND CHIEF COUNSEL direct 2011-10-01
CHANDOHA, MARIE, ANASTASIA DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER direct 2010-12-01
HOGAN, MICHAEL, FREDERICK SVP AND CHIEF COMPLIANCE OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC VP AND CHIEF COMPLIANCE OFFICER direct 2009-07-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF COMPLIANCE OFFICER direct 2014-01-01
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT CHIEF COMPLIANCE OFFICER direct 2004-08-01
PEREIRA, GEORGE, MANUEL SVP, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER 11/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP, CHIEF FINANCIAL OFFICER AND CHIEF OPERATING OFFICER direct 2004-11-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC SVP AND CHIEF FINANCIAL OFFICER direct 2004-11-01
UST ADVISERS, INC. CFO, MUTUAL FUND DIVISION direct 2006-03-01
THE CHARLES SCHWAB CORPORATION 100% OWNER OF REGISTRANT 10/01/1989 Direct 75% or more
Fund Name Position direct/indirect start date end date
CHARLES SCHWAB & CO., INC. SHAREHOLDER indirect 1987-03-01
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 1987-03-01
WINDHAVEN INVESTMENT MANAGEMENT, INC. SHAREHOLDER indirect 1987-03-01
CHARLES SCHWAB INVESTMENT MANAGEMENT, INC 100% OWNER OF REGISTRANT direct 1989-10-01
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
U.S. TRUST COMPANY PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
RESOURCE CAPITAL ADVISERS INC PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01
401(K) INVESTMENT ADVISORS, INC. PARENT indirect 2007-03-01
CHARLES SCHWAB INVESTMENT ADVISORY, INC. 100 % OWNER direct 2010-01-01
BROKERSXPRESS LLC HOLDING COMPANY ACQUIRED OUR HOLDING COMPANY indirect 2011-09-01
THOMASPARTNERS, INC. 100% OWNER direct 2012-12-01
SCHWAB WEALTH INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 2014-11-01
CTC CONSULTING, INC. INDIRECT SHAREHOLDER indirect 2000-05-01 2001-02-23
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-10
UNITED STATES TRUST COMPANY OF NEW YORK PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
U.S TRUST COMPANY, NATIONAL ASSOCIATION PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
U.S. TRUST COMPANY PARENT COMPANY OF U.S. TRUST CORPORATION direct 2000-05-01 2001-05-11
CTC CONSULTING, INC. DIRECT SHAREHOLDER OF U.S. TRUST CORPORATION indirect 2000-05-01 2001-07-26
NCT OPPORTUNITIES INC SHAREHOLDER indirect 2000-06-01 2002-04-01
PERSIMMON RESEARCH PARTNERS INC CONVERTIBLE NOTE HOLDER direct 2001-10-01 2002-08-27
U.S TRUST COMPANY, NATIONAL ASSOCIATION PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
UNITED STATES TRUST COMPANY OF NEW YORK PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
CTC CONSULTING, INC. PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-05-01 2007-05-10
NCT OPPORTUNITIES INC PARENT COMPANY OF U.S. TRUST CORPORATION indirect 2000-06-01 2007-05-10
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. 100% OWNER direct 2012-01-01 2013-03-28
SCHWAB WEALTH INVESTMENT ADVISORY, INC. SHAREHOLDER indirect 1987-03-01 2015-02-20

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