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As Of Filer Filing For·On·As Docs:Size Issuer Agent 12/28/16 Schwab Strategic Trust 485BPOS 12/29/16 8:2.7M Donnelley … Solutions/FA → Schwab Emerging Markets Equity ETF ⇒ SCHE → Schwab International Equity ETF ⇒ SCHF → Schwab International Small-Cap Equity ETF ⇒ SCHC → Schwab U.S. Broad Market ETF ⇒ SCHB → Schwab U.S. Dividend Equity ETF ⇒ SCHD → Schwab U.S. Large-Cap ETF ⇒ SCHX → Schwab U.S. Large-Cap Growth ETF ⇒ SCHG → Schwab U.S. Large-Cap Value ETF ⇒ SCHV → Schwab U.S. Mid-Cap ETF ⇒ SCHM → Schwab U.S. Small-Cap ETF ⇒ SCHA |
Document/Exhibit Description Pages Size 1: 485BPOS Post-Effective Amendment HTML 1.20M 2: EX-99.(D)(17) Miscellaneous Exhibit HTML 16K 3: EX-99.(H)(4)(G) Miscellaneous Exhibit HTML 11K 4: EX-99.(H)(4)(H) Miscellaneous Exhibit HTML 16K 5: EX-99.(I) Miscellaneous Exhibit HTML 8K 6: EX-99.(J)(1) Miscellaneous Exhibit HTML 6K 7: EX-99.(P)(1) Miscellaneous Exhibit HTML 62K 8: EX-99.(P)(2) Miscellaneous Exhibit HTML 90K
485BPOS |
Douglas
P. Dick, Esq. Dechert LLP 1900 K Street, N.W. Washington, DC 20006 |
John
M. Loder, Esq. Ropes & Gray LLP 800 Boylston Street Boston, MA 02199-3600 |
David
J. Lekich, Esq. Charles Schwab Investment Management, Inc. 211 Main Street SF211MN-05-491 San Francisco, CA 94105 |
• Schwab U.S. Broad Market ETF™ | SCHB |
• Schwab U.S. Large-Cap ETF™ | SCHX |
• Schwab U.S. Large-Cap Growth ETF™ | SCHG |
• Schwab U.S. Large-Cap Value ETF™ | SCHV |
• Schwab U.S. Mid-Cap ETF™ | SCHM |
• Schwab U.S. Small-Cap ETF™ | SCHA |
• Schwab U.S. Dividend Equity ETF™ | SCHD |
Fund summaries | |
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Fund details | |
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Ticker Symbol: | SCHB |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.03 |
Other expenses | None |
Total annual fund operating expenses | 0.03 |
1 year | 3 years | 5 years | 10 years |
$3 | $10 | $17 | $39 |
1 Year | 5 Years | Since
Inception 11/03/09 | |
Before taxes | 0.45% | 12.21% | 14.06% |
After taxes on distributions | (0.04%) | 11.75% | 13.63% |
After taxes on distributions and sale of shares | 0.63% | 9.73% | 11.43% |
Comparative Index (reflects no deduction for expenses or taxes) | |||
Dow Jones U.S. Broad Stock Market Index | 0.48% | 12.17% | 14.09% |
Ticker Symbol: | SCHX |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.03 |
Other expenses | None |
Total annual fund operating expenses | 0.03 |
1 year | 3 years | 5 years | 10 years |
$3 | $10 | $17 | $39 |
1 Year | 5 Years | Since
Inception 11/03/09 | |
Before taxes | 1.02% | 12.34% | 13.90% |
After taxes on distributions | 0.53% | 11.89% | 13.47% |
After taxes on distributions and sale of shares | 0.96% | 9.85% | 11.30% |
Comparative Index (reflects no deduction for expenses or taxes) | |||
Dow Jones U.S. Large-Cap Total Stock Market Index | 1.08% | 12.42% | 14.00% |
Ticker Symbol: | SCHG |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.04 |
Other expenses | None |
Total annual fund operating expenses | 0.04 |
1 year | 3 years | 5 years | 10 years |
$4 | $13 | $23 | $51 |
1 Year | 5 Years | Since
Inception 12/11/09 | |
Before taxes | 3.26% | 13.22% | 14.19% |
After taxes on distributions | 2.96% | 12.94% | 13.93% |
After taxes on distributions and sale of shares | 2.08% | 10.59% | 11.53% |
Comparative Index (reflects no deduction for expenses or taxes) | |||
Dow Jones U.S. Large-Cap Growth Total Stock Market Index | 3.30% | 13.33% | 14.31% |
Ticker Symbol: | SCHV |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.04 |
Other expenses | None |
Total annual fund operating expenses | 0.04 |
1 year | 3 years | 5 years | 10 years |
$4 | $13 | $23 | $51 |
1 Year | 5 Years | Since
Inception 12/11/09 | |
Before taxes | (1.09%) | 11.37% | 11.87% |
After taxes on distributions | (1.72%) | 10.77% | 11.30% |
After taxes on distributions and sale of shares | (0.11%) | 9.05% | 9.56% |
Comparative Index (reflects no deduction for expenses or taxes) | |||
Dow Jones U.S. Large-Cap Value Total Stock Market Index | (1.02%) | 11.51% | 12.04% |
Ticker Symbol: | SCHM |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.06 |
Other expenses | None |
Total annual fund operating expenses | 0.06 |
1 year | 3 years | 5 years | 10 years |
$6 | $19 | $34 | $77 |
1 Year | Since
Inception 1/13/11 | |
Before taxes | (0.01%) | 11.42% |
After taxes on distributions | (0.43%) | 11.01% |
After taxes on distributions and sale of shares | 0.23% | 9.02% |
Comparative Index (reflects no deduction for expenses or taxes) | ||
Dow Jones U.S. Mid-Cap Total Stock Market Index | 0.02% | 11.49% |
Ticker Symbol: | SCHA |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.06 |
Other expenses | None |
Total annual fund operating expenses | 0.06 |
1 year | 3 years | 5 years | 10 years |
$6 | $19 | $34 | $77 |
1 Year | 5 Years | Since
Inception 11/03/09 | |
Before taxes | (4.24%) | 10.32% | 14.83% |
After taxes on distributions | (4.64%) | 9.89% | 14.42% |
After taxes on distributions and sale of shares | (2.20%) | 8.10% | 12.02% |
Comparative Index (reflects no deduction for expenses or taxes) | |||
Dow Jones U.S. Small-Cap Total Stock Market Index | (4.23%) | 10.32% | 14.89% |
Ticker Symbol: | SCHD |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.07 |
Other expenses | None |
Total annual fund operating expenses | 0.07 |
1 year | 3 years | 5 years | 10 years |
$7 | $23 | $40 | $90 |
1 Year | Since
Inception 10/20/11 | |
Before taxes | (0.21%) | 14.14% |
After taxes on distributions | (0.91%) | 13.46% |
After taxes on distributions and sale of shares | 0.44% | 11.25% |
Comparative Index (reflects no deduction for expenses or taxes) | ||
Dow Jones U.S. Dividend 100 Index | (0.11%) | 14.30% |
Schwab U.S. Broad Market ETF | SCHB |
Schwab U.S. Large-Cap ETF | SCHX |
Schwab U.S. Large-Cap Growth ETF | SCHG |
Schwab U.S. Large-Cap Value ETF | SCHV |
Schwab U.S. Mid-Cap ETF | SCHM |
Schwab U.S. Small-Cap ETF | SCHA |
Schwab U.S. Dividend Equity ETF | SCHD |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
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Per-Share Data | ||||||
Net asset value at beginning of period | $ 48.02 | $ 48.75 | $ 39.79 | $ 33.84 | $ 29.47 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss)1 | 1.03 | 0.99 | 0.85 | 0.80 | 0.65 | |
Net realized and unrealized gains (losses) | 4.34 | (0.79) | 8.93 | 5.92 | 4.32 | |
Total from investment operations | 5.37 | 0.20 | 9.78 | 6.72 | 4.97 | |
Less distributions: | ||||||
Distributions from net investment income | (0.97) | (0.93) | (0.82) | (0.77) | (0.60) | |
Net asset value at end of period | $ 52.42 | $ 48.02 | $ 48.75 | $ 39.79 | $ 33.84 | |
Total return | 11.35% | 0.33% | 24.77% | 20.12% | 17.07% | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.03% 2 | 0.04% | 0.04% | 0.04% | 0.06% | |
Net investment income (loss) | 2.09% | 1.98% | 1.90% | 2.15% | 2.06% | |
Portfolio turnover rate3 | 5% | 3% | 4% | 4% | 5% | |
Net assets, end of period (x 1,000) | $6,858,980 | $4,919,185 | $3,654,037 | $2,182,671 | $1,072,825 |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
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Per-Share Data | ||||||
Net asset value at beginning of period | $ 47.30 | $ 47.99 | $ 39.06 | $ 33.49 | $ 29.11 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 1.03 1 | 1.01 1 | 0.83 | 0.77 | 0.64 | |
Net realized and unrealized gains (losses) | 4.41 | (0.77) | 8.92 | 5.56 | 4.35 | |
Total from investment operations | 5.44 | 0.24 | 9.75 | 6.33 | 4.99 | |
Less distributions: | ||||||
Distributions from net investment income | (0.99) | (0.93) | (0.82) | (0.76) | (0.61) | |
Net asset value at end of period | $ 51.75 | $ 47.30 | $ 47.99 | $ 39.06 | $ 33.49 | |
Total return | 11.66% | 0.43% | 25.16% | 19.17% | 17.36% | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.03% 2 | 0.04% | 0.04% | 0.04% | 0.08% | |
Net investment income (loss) | 2.13% | 2.04% | 1.95% | 2.18% | 2.10% | |
Portfolio turnover rate3 | 4% | 4% | 5% | 5% | 4% | |
Net assets, end of period (x 1,000) | $6,218,346 | $4,329,918 | $3,191,644 | $1,781,282 | $890,808 |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
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Per-Share Data | ||||||
Net asset value at beginning of period | $ 51.93 | $ 50.11 | $ 39.60 | $ 34.05 | $ 29.44 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 0.59 1 | 0.66 1 | 0.56 | 0.55 | 0.36 | |
Net realized and unrealized gains (losses) | 3.30 | 1.79 | 10.50 | 5.52 | 4.59 | |
Total from investment operations | 3.89 | 2.45 | 11.06 | 6.07 | 4.95 | |
Less distributions: | ||||||
Distributions from net investment income | (0.57) | (0.63) | (0.55) | (0.52) | (0.34) | |
Net asset value at end of period | $ 55.25 | $ 51.93 | $ 50.11 | $ 39.60 | $ 34.05 | |
Total return | 7.56% | 4.87% | 28.11% | 18.02% | 16.96% | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.07% 2 | 0.07% | 0.07% | 0.07% | 0.13% | |
Net investment income (loss) | 1.14% | 1.25% | 1.29% | 1.55% | 1.17% | |
Portfolio turnover rate3 | 7% | 10% | 7% | 11% | 8% | |
Net assets, end of period (x 1,000) | $2,980,475 | $2,246,101 | $1,485,805 | $827,613 | $475,062 |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
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Per-Share Data | ||||||
Net asset value at beginning of period | $ 40.89 | $ 43.54 | $ 36.49 | $ 31.24 | $ 27.34 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 1.29 1 | 1.20 1 | 1.00 | 0.93 | 0.82 | |
Net realized and unrealized gains (losses) | 5.01 | (2.75) | 7.03 | 5.24 | 3.89 | |
Total from investment operations | 6.30 | (1.55) | 8.03 | 6.17 | 4.71 | |
Less distributions: | ||||||
Distributions from net investment income | (1.18) | (1.10) | (0.98) | (0.92) | (0.81) | |
Net asset value at end of period | $ 46.01 | $ 40.89 | $ 43.54 | $ 36.49 | $ 31.24 | |
Total return | 15.70% | (3.71%) | 22.25% | 20.06% | 17.53% | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.07% 2 | 0.07% | 0.07% | 0.07% | 0.13% | |
Net investment income (loss) | 3.00% | 2.75% | 2.54% | 2.73% | 2.89% | |
Portfolio turnover rate3 | 6% | 15% | 9% | 9% | 8% | |
Net assets, end of period (x 1,000) | $2,491,664 | $1,435,194 | $1,162,576 | $700,693 | $385,791 |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
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Per-Share Data | ||||||
Net asset value at beginning of period | $ 40.70 | $ 40.56 | $ 32.94 | $ 26.56 | $ 23.75 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 0.74 1 | 0.59 1 | 0.56 | 0.51 | 0.37 | |
Net realized and unrealized gains (losses) | 2.84 | 0.12 | 7.62 | 6.40 | 2.77 | |
Total from investment operations | 3.58 | 0.71 | 8.18 | 6.91 | 3.14 | |
Less distributions: | ||||||
Distributions from net investment income | (0.61) | (0.57) | (0.56) | (0.53) | (0.33) | |
Net asset value at end of period | $ 43.67 | $ 40.70 | $ 40.56 | $ 32.94 | $ 26.56 | |
Total return | 8.94% | 1.71% | 24.97% | 26.27% | 13.32% | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.07% | 0.07% | 0.07% | 0.07% | 0.13% | |
Net investment income (loss) | 1.83% | 1.42% | 1.53% | 1.70% | 1.53% | |
Portfolio turnover rate2 | 21% | 12% | 9% | 25% | 19% | |
Net assets, end of period (x 1,000) | $2,532,590 | $1,841,785 | $1,190,517 | $611,081 | $205,840 |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
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Per-Share Data | ||||||
Net asset value at beginning of period | $ 53.54 | $ 54.53 | $ 45.71 | $ 36.55 | $ 32.34 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 0.93 1 | 0.80 1 | 0.73 | 0.74 | 0.49 | |
Net realized and unrealized gains (losses) | 3.75 | (1.07) | 8.84 | 9.18 | 4.16 | |
Total from investment operations | 4.68 | (0.27) | 9.57 | 9.92 | 4.65 | |
Less distributions: | ||||||
Distributions from net investment income | (0.80) | (0.72) | (0.75) | (0.76) | (0.44) | |
Net asset value at end of period | $ 57.42 | $ 53.54 | $ 54.53 | $ 45.71 | $ 36.55 | |
Total return | 8.89% | (0.54%) | 21.01% | 27.47% | 14.52% | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.08% 2 | 0.08% | 0.08% | 0.09% 3 | 0.13% | |
Net investment income (loss) | 1.76% | 1.44% | 1.41% | 1.74% | 1.44% | |
Portfolio turnover rate4 | 11% | 9% | 13% | 22% | 12% | |
Net assets, end of period (x 1,000) | $3,772,207 | $2,893,741 | $2,104,717 | $1,446,857 | $641,516 |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
10/19/11
1– 8/31/12 |
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Per-Share Data | ||||||
Net asset value at beginning of period | $ 36.52 | $ 38.90 | $ 33.00 | $ 28.58 | $ 25.00 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 1.29 2 | 1.19 2 | 1.04 | 0.91 | 0.62 | |
Net realized and unrealized gains (losses) | 5.85 | (2.46) | 5.86 | 4.40 | 3.43 | |
Total from investment operations | 7.14 | (1.27) | 6.90 | 5.31 | 4.05 | |
Less distributions: | ||||||
Distributions from net investment income | (1.19) | (1.11) | (1.00) | (0.89) | (0.47) | |
Net asset value at end of period | $ 42.47 | $ 36.52 | $ 38.90 | $ 33.00 | $ 28.58 | |
Total return | 19.89% | (3.47%) | 21.15% | 18.93% | 16.31% 3 | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.07% | 0.07% | 0.07% | 0.07% | 0.17% 4 | |
Net investment income (loss) | 3.27% | 3.03% | 3.01% | 3.09% | 3.19% 4 | |
Portfolio turnover rate5 | 22% | 19% | 26% | 13% | 17% 3 | |
Net assets, end of period (x 1,000) | $4,300,443 | $2,497,808 | $2,075,331 | $1,141,690 | $504,464 |
Schwab U.S. Broad Market ETF | 0.03% |
Schwab U.S. Large-Cap ETF | 0.03% |
Schwab U.S. Large-Cap Growth ETF | 0.04% |
Schwab U.S. Large-Cap Value ETF | 0.04% |
Schwab U.S. Mid-Cap ETF | 0.06% |
Schwab U.S. Small-Cap ETF | 0.06% |
Schwab U.S. Dividend Equity ETF | 0.07% |
Schwab U.S. Broad Market ETF | SCHB |
Schwab U.S. Large-Cap ETF | SCHX |
Schwab U.S. Large-Cap Growth ETF | SCHG |
Schwab U.S. Large-Cap Value ETF | SCHV |
Schwab U.S. Mid-Cap ETF | SCHM |
Schwab U.S. Small-Cap ETF | SCHA |
Schwab U.S. Dividend Equity ETF | SCHD |
Name of Fund | Approximate
Value of One Creation Unit |
Standard
Creation/Redemption Transaction Fee |
Maximum
Additional Creation Transaction Fee* |
Maximum
Additional Redemption Transaction Fee* |
Schwab U.S. Broad Market ETF | $2,672,500 | $1,500 | 3.0% | 2.0% |
Schwab U.S. Large-Cap ETF | $2,628,390 | $500 | 3.0% | 2.0% |
Schwab U.S. Large-Cap Growth ETF | $2,776,330 | $500 | 3.0% | 2.0% |
Schwab U.S. Large-Cap Value ETF | $2,357,115 | $500 | 3.0% | 2.0% |
Schwab U.S. Mid-Cap ETF | $2,237,310 | $500 | 3.0% | 2.0% |
Schwab U.S. Small-Cap ETF | $3,023,590 | $1,500 | 3.0% | 2.0% |
Schwab U.S. Dividend Equity ETF | $2,149,955 | $250 | 3.0% | 2.0% |
*As a percentage of total amount invested or redeemed. |
Schwab Strategic Trust | 811-22311 |
• Schwab International Equity ETF™ | SCHF |
• Schwab International Small-Cap Equity ETF™ | SCHC |
• Schwab Emerging Markets Equity ETF™ | SCHE |
Fund summaries | |
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5 |
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8 |
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Fund details | |
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20 |
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27 |
Ticker Symbol: | SCHF |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.07 |
Other expenses | None |
Total annual fund operating expenses | 0.07 |
1 year | 3 years | 5 years | 10 years |
$7 | $23 | $40 | $90 |
1 Year | 5 Years | Since
Inception 11/03/09 | |
Before taxes | (2.44%) | 2.82% | 4.42% |
After taxes on distributions | (2.85%) | 2.37% | 4.02% |
After taxes on distributions and sale of shares | (0.86%) | 2.33% | 3.61% |
Comparative Index (reflects no deduction for expenses or taxes) | |||
FTSE Developed ex US Index (Net) | (2.39%) | 2.81% | 4.50% |
Ticker Symbol: | SCHC |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.16 |
Other expenses | None |
Total annual fund operating expenses | 0.16 |
1 year | 3 years | 5 years | 10 years |
$16 | $52 | $90 | $205 |
1 Year | 5 Years | Since
Inception 1/14/10 | |
Before taxes | 1.85% | 2.84% | 5.32% |
After taxes on distributions | 1.25% | 2.15% | 4.64% |
After taxes on distributions and sale of shares | 1.46% | 2.13% | 4.12% |
Comparative Index (reflects no deduction for expenses or taxes) | |||
FTSE Developed Small Cap ex US Liquid Index (Net) | 1.79% | 2.90% | 5.49% |
Ticker Symbol: | SCHE |
Shareholder fees (fees paid directly from your investment) | |
None | |
Annual fund operating expenses (expenses that you pay each year as a % of the value of your investment) | |
Management fees | 0.13 |
Other expenses | None |
Total annual fund operating expenses | 0.13 |
1 year | 3 years | 5 years | 10 years |
$13 | $42 | $73 | $166 |
1 Year | 5 Years | Since
Inception 1/14/10 | |
Before taxes | (15.80%) | (5.03%) | (1.80%) |
After taxes on distributions | (16.27%) | (5.46%) | (2.18%) |
After taxes on distributions and sale of shares | (8.52%) | (3.56%) | (1.17%) |
Comparative Index (reflects no deduction for expenses or taxes) | |||
FTSE Emerging Index (Net) | (15.51%) | (4.80%) | (1.50%) |
Schwab International Equity ETF | SCHF |
Schwab International Small-Cap Equity ETF | SCHC |
Schwab Emerging Markets Equity ETF | SCHE |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
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Per-Share Data | ||||||
Net asset value at beginning of period | $ 28.55 | $ 32.37 | $ 28.32 | $ 24.96 | $ 25.99 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 0.84 1 | 0.87 1 | 0.88 | 0.66 | 0.76 | |
Net realized and unrealized gains (losses) | (0.45) | (3.85) | 3.87 | 3.42 | (1.04) | |
Total from investment operations | 0.39 | (2.98) | 4.75 | 4.08 | (0.28) | |
Less distributions: | ||||||
Distributions from net investment income | (0.62) | (0.84) | (0.70) | (0.72) | (0.75) | |
Net asset value at end of period | $ 28.32 | $ 28.55 | $ 32.37 | $ 28.32 | $ 24.96 | |
Total return | 1.47% | (9.27%) | 16.90% | 16.55% | (0.75%) | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.08% | 0.08% | 0.09% 2 | 0.09% | 0.13% | |
Net investment income (loss) | 3.06% | 2.86% | 3.44% | 3.03% | 3.40% | |
Portfolio turnover rate3 | 5% | 4% | 7% | 9% | 8% | |
Net assets, end of period (x 1,000) | $6,168,595 | $4,042,603 | $2,654,016 | $1,464,105 | $768,666 |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
||
Per-Share Data | ||||||
Net asset value at beginning of period | $ 29.46 | $ 33.32 | $ 28.61 | $ 24.94 | $ 27.48 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 0.67 1 | 0.73 1 | 0.71 | 0.76 | 0.67 | |
Net realized and unrealized gains (losses) | 0.50 | (3.84) | 4.90 | 3.72 | (2.39) | |
Total from investment operations | 1.17 | (3.11) | 5.61 | 4.48 | (1.72) | |
Less distributions: | ||||||
Distributions from net investment income | (0.67) | (0.75) | (0.90) | (0.81) | (0.82) | |
Net asset value at end of period | $ 29.96 | $ 29.46 | $ 33.32 | $ 28.61 | $ 24.94 | |
Total return | 4.12% | (9.29%) | 19.84% | 18.23% | (5.91%) | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.17% 2 | 0.18% 3 | 0.19% | 0.21% 4 | 0.35% | |
Net investment income (loss) | 2.34% | 2.40% | 2.21% | 2.86% | 2.65% | |
Portfolio turnover rate5 | 23% | 23% | 16% | 20% | 25% | |
Net assets, end of period (x 1,000) | $787,951 | $609,773 | $403,229 | $280,422 | $159,610 |
9/1/15–
8/31/16 |
9/1/14–
8/31/15 |
9/1/13–
8/31/14 |
9/1/12–
8/31/13 |
9/1/11–
8/31/12 |
||
Per-Share Data | ||||||
Net asset value at beginning of period | $ 20.83 | $ 27.34 | $ 22.94 | $ 23.65 | $ 26.10 | |
Income (loss) from investment operations: | ||||||
Net investment income (loss) | 0.58 1 | 0.66 1 | 0.63 | 0.50 | 0.63 | |
Net realized and unrealized gains (losses) | 1.64 | (6.49) | 4.40 | (0.65) | (2.51) | |
Total from investment operations | 2.22 | (5.83) | 5.03 | (0.15) | (1.88) | |
Less distributions: | ||||||
Distributions from net investment income | (0.49) | (0.68) | (0.63) | (0.56) | (0.57) | |
Net asset value at end of period | $ 22.56 | $ 20.83 | $ 27.34 | $ 22.94 | $ 23.65 | |
Total return | 11.02% | (21.62%) | 22.31% | (0.89%) | (7.04%) | |
Ratios/Supplemental Data | ||||||
Ratios to average net assets: | ||||||
Total expenses | 0.14% | 0.14% | 0.14% | 0.15% | 0.25% | |
Net investment income (loss) | 2.85% | 2.66% | 2.89% | 2.63% | 2.96% | |
Portfolio turnover rate2 | 10% | 8% | 9% | 15% | 9% | |
Net assets, end of period (x 1,000) | $2,009,874 | $1,276,740 | $1,273,840 | $811,915 | $515,595 |
Schwab International Equity ETF | 0.07% |
Schwab International Small-Cap Equity ETF | 0.16% |
Schwab Emerging Markets Equity ETF | 0.13% |
Schwab International Equity ETF | SCHF |
Schwab International Small-Cap Equity ETF | SCHC |
Schwab Emerging Markets Equity ETF | SCHE |
Name of Fund | Approximate
Value of One Creation Unit |
Standard
Creation/Redemption Transaction Fee |
Maximum
Additional Creation Transaction Fee* |
Maximum
Additional Redemption Transaction Fee* |
Schwab International Equity ETF | $2,760,170 | $15,000 | 3.0% | 2.0% |
Schwab International Small-Cap Equity ETF | $2,906,590 | $12,500 | 3.0% | 2.0% |
Schwab Emerging Markets Equity ETF | $2,199,300 | $6,000 | 3.0% | 2.0% |
* As a percentage of total amount invested or redeemed |
Schwab Strategic Trust | 811-22311 |
Schwab U.S. Broad Market ETF™ | SCHB |
Schwab U.S. Large-Cap ETF™ | SCHX |
Schwab U.S. Large-Cap Growth ETF™ | SCHG |
Schwab U.S. Large-Cap Value ETF™ | SCHV |
Schwab U.S. Mid-Cap ETF™ | SCHM |
Schwab U.S. Small-Cap ETF™ | SCHA |
Schwab U.S. Dividend Equity ETF™ | SCHD |
Schwab International Equity ETF™ | SCHF |
Schwab International Small-Cap Equity ETF™ | SCHC |
Schwab Emerging Markets Equity ETF™ | SCHE |
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APPENDIX — NON-U.S. MARKET HOLIDAY SCHEDULES | |
APPENDIX — PROXY VOTING POLICY AND PROCEDURES |
(1) | Purchase securities of an issuer, except as consistent with the maintenance of its status as an open-end diversified company under the 1940 Act, the rules or regulations thereunder or any exemption therefrom, as such statute, rules or regulations may be amended or interpreted from time to time. |
(1) | Concentrate investments in a particular industry or group of industries, as concentration is defined under the 1940 Act, the rules or regulations thereunder or any exemption therefrom, as such statute, rules or regulations may be amended or interpreted from time to time, except that each fund will concentrate to approximately the same extent that its benchmark index concentrates in the securities of such particular industry or group of industries. |
(2) | Purchase or sell commodities, commodities contracts or real estate, lend or borrow money, issue senior securities, underwrite securities issued by others, or pledge, mortgage or hypothecate any of its assets, except as permitted by (or not prohibited by) the 1940 Act or the rules or regulations thereunder or any exemption therefrom, as such statute, rules or regulations may be amended or interpreted from time to time. |
1 | The Schwab U.S. Dividend Equity ETF has not adopted this fundamental investment policy limitation and it was sub-classified as a “non-diversified” fund, as defined in the 1940 Act, when formed. However, due to the Schwab U.S. Dividend Equity ETF’s principal investment strategy and investment process, it has historically operated as a “diversified” fund. Therefore, the Schwab U.S. Dividend Equity ETF will not operate in the future as a “non-diversified” fund without first obtaining shareholder approval, except as allowed pursuant to the 1940 Act and rules or interpretations thereof. |
(1) | Invest more than 15% of its net assets in illiquid securities. |
(2) | Sell securities short unless it owns the security or the right to obtain the security or equivalent securities, or unless it covers such short sale as required by current SEC rules and interpretations (transactions in futures contracts, options and other derivative instruments are not considered selling securities short). |
(3) | Purchase securities on margin, except such short term credits as may be necessary for the clearance of purchases and sales of securities and provided that margin deposits in connection with futures contracts, options on futures or other derivative instruments shall not constitute purchasing securities on margin. |
(4) | Borrow money except that each fund, except for the Schwab U.S. Mid-Cap ETF and the Schwab U.S. Dividend Equity ETF, may (i) borrow money from banks or through an interfund lending facility, if any, only for temporary or emergency purposes (and not for leveraging) and (ii) engage in reverse repurchase agreements with any party; provided that (i) and (ii) in combination do not exceed 33 1/3% of its total assets (any borrowings that come to exceed this amount will be reduced to the extent necessary to comply with the limitation within three business days). The Schwab U.S. Mid-Cap ETF and the Schwab U.S. Dividend Equity ETF may (i) borrow money from banks or through an interfund lending facility, if any, and engage in reverse repurchase agreements with any party provided that such borrowings and reverse repurchase agreements in combination do not exceed 33 1/3% of its total assets, including the amount borrowed (but not including temporary or emergency borrowings not exceeding 5%); and (ii) may borrow an additional amount up to 5% of its assets for temporary or emergency purposes. |
(5) | Lend any security or make any other loan if, as a result, more than 33 1/3% of its total assets would be lent to other parties (this restriction does not apply to purchases of debt securities or repurchase agreements). |
(6) | Purchase securities (other than securities issued or guaranteed by the U.S. government, its agencies or instrumentalities) if, as a result of such purchase, 25% or more of the value of its total assets would be invested in any industry or group of industries (except that each fund may purchase securities to the extent that the index the fund is designed to track is also so concentrated). |
(7) | Purchase or sell commodities, commodity contracts or real estate, including interests in real estate limited partnerships, provided that a fund may (i) purchase securities of companies that deal in real estate or interests therein (including REITs); (ii) purchase securities of companies that deal in precious metals or interests therein; and (iii) purchase, sell and enter into futures contracts (including futures contracts on indices of securities, interest rates and currencies), options on futures contracts (including futures contracts on indices of securities, interest rates and currencies), warrants, swaps, forward contracts, foreign currency spot and forward contracts or other derivative instruments. |
NAME,
YEAR OF BIRTH, AND POSITION(S) WITH THE TRUST; (TERM OF OFFICE AND LENGTH OF TIME SERVED1) |
PRINCIPAL
OCCUPATIONS DURING THE PAST FIVE YEARS |
NUMBER
OF PORTFOLIOS IN FUND COMPLEX OVERSEEN BY THE TRUSTEE |
OTHER
DIRECTORSHIPS DURING THE PAST FIVE YEARS |
INDEPENDENT TRUSTEES | |||
Robert
W. Burns 1959 Trustee (Trustee of Schwab Strategic Trust since 2009; The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios and Laudus Trust since 2016) |
Retired/Private Investor (Jan. 2009-present). Formerly, Managing Director, Pacific Investment Management Company, LLC (PIMCO) and President, PIMCO Funds. | 108 | Director, PS Business Parks, Inc. (2005-2012) |
NAME,
YEAR OF BIRTH, AND POSITION(S) WITH THE TRUST; (TERM OF OFFICE AND LENGTH OF TIME SERVED1) |
PRINCIPAL
OCCUPATIONS DURING THE PAST FIVE YEARS |
NUMBER
OF PORTFOLIOS IN FUND COMPLEX OVERSEEN BY THE TRUSTEE |
OTHER
DIRECTORSHIPS DURING THE PAST FIVE YEARS |
INDEPENDENT TRUSTEES | |||
John
F. Cogan 1947 Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust and Schwab Annuity Portfolios since 2008; Laudus Trust since 2010; Schwab Strategic Trust since 2016) |
Senior Fellow, The Hoover Institution at Stanford University (Oct. 1979-present); Senior Fellow, Stanford Institute for Economic Policy Research (2000-present); Professor of Public Policy, Stanford University (1994-2015). | 108 | Director, Gilead Sciences, Inc. (2005-present) |
Stephen
Timothy Kochis 1946 Trustee (Trustee of Schwab Strategic Trust since 2012; The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios and Laudus Trust since 2016) |
CEO and Owner, Kochis Global (wealth management consulting) (May 2012-present); Chairman and CEO, Aspiriant, LLC (wealth management) (Jan. 2008-Apr. 2012). | 108 | None |
David
L. Mahoney 1954 Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios and Laudus Trust since 2011; Schwab Strategic Trust since 2016) |
Private Investor. | 108 | Director,
Symantec Corporation (2003-present) Director, Corcept Therapeutics Incorporated (2004-present) Director, Adamas Pharmaceuticals, Inc. (2009-present) |
Kiran
M. Patel 1948 Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios and Laudus Trust since 2011; Schwab Strategic Trust since 2016) |
Retired. Executive Vice President and General Manager of Small Business Group, Intuit, Inc. (financial software and services firm for consumers and small businesses) (Dec. 2008-Sept. 2013). | 108 | Director, KLA-Tencor Corporation (2008-present) |
Kimberly
S. Patmore 1956 Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios, Schwab Strategic Trust and Laudus Trust since 2016) |
Consultant, Patmore Management Consulting (management consulting) (2008-present). | 108 | None |
Charles
A. Ruffel 1956 Trustee (Trustee of Schwab Strategic Trust since 2009; The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios and Laudus Trust since 2015) |
Co-Chief Executive Officer, Kudu Investment Management, LLC (financial services) (Jan. 2015-present); Partner, Kudu Advisors, LLC (financial services) (June 2008-Jan. 2015); Advisor, Asset International, Inc. (publisher of financial services information) (Aug. 2008-Jan. 2015). | 108 | None |
NAME,
YEAR OF BIRTH, AND POSITION(S) WITH THE TRUST; (TERM OF OFFICE AND LENGTH OF TIME SERVED1) |
PRINCIPAL
OCCUPATIONS DURING THE PAST FIVE YEARS |
NUMBER
OF PORTFOLIOS IN FUND COMPLEX OVERSEEN BY THE TRUSTEE |
OTHER
DIRECTORSHIPS DURING THE PAST FIVE YEARS |
INDEPENDENT TRUSTEES | |||
Gerald
B. Smith 1950 Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust and Schwab Annuity Portfolios since 2000; Laudus Trust since 2010; Schwab Strategic Trust since 2016) |
Chairman, Chief Executive Officer and Founder of Smith Graham & Co. (investment advisors) (Mar. 1990-present). | 108 | Director,
Eaton (2012-present) Director and Chairman of the Audit Committee, Oneok Partners LP (2003-2013) Director, Oneok, Inc. (2009-2013) Lead Independent Director, Board of Cooper Industries (2002-2012) |
Joseph
H. Wender 1944 Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust and Schwab Annuity Portfolios since 2008; Laudus Trust since 2010; Schwab Strategic Trust since 2016) |
Senior Consultant, Goldman Sachs & Co., Inc. (investment banking and securities firm) (Jan. 2008-present); Partner, Colgin Partners, LLC (vineyards) (Feb. 1998-present). | 108 | Board
Member and Chairman of the Audit Committee, Ionis Pharmaceuticals (1994-present) Lead Independent Director and Chair of Audit Committee, OUTFRONT Media Inc. (2014-present) |
INTERESTED TRUSTEES | |||
Walter
W. Bettinger II2 1960 Chairman and Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust and Schwab Annuity Portfolios since 2008; Schwab Strategic Trust since 2009; Laudus Trust since 2010) |
Director, President and Chief Executive Officer, The Charles Schwab Corporation (Oct. 2008-present); President and Chief Executive Officer (Oct. 2008-present), Director (May 2008-present), Charles Schwab & Co., Inc.; Director, Charles Schwab Bank (Apr. 2006-present); and Director, Schwab Holdings, Inc. (May 2008-present). | 108 | Director, The Charles Schwab Corporation (2008-present) |
NAME,
YEAR OF BIRTH, AND POSITION(S) WITH THE TRUST; (TERM OF OFFICE AND LENGTH OF TIME SERVED1) |
PRINCIPAL
OCCUPATIONS DURING THE PAST FIVE YEARS |
NUMBER
OF PORTFOLIOS IN FUND COMPLEX OVERSEEN BY THE TRUSTEE |
OTHER
DIRECTORSHIPS DURING THE PAST FIVE YEARS |
INTERESTED TRUSTEES | |||
Marie
A. Chandoha2 1961 Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios, Schwab Strategic Trust and Laudus Trust since 2016) |
Director, President and Chief Executive Officer (Dec. 2010-present), Chief Investment Officer (Sept. 2010-Oct. 2011), Charles Schwab Investment Management, Inc.; Trustee (Jan. 2016-present), President, Chief Executive Officer (Dec. 2010-present), and Chief Investment Officer (Sept. 2010-Oct. 2011), Schwab Funds, Laudus Funds and Schwab ETFs; Director, Charles Schwab Worldwide Funds plc and Charles Schwab Asset Management (Ireland) Limited (Jan. 2011-present); Global Head of Fixed Income Business Division, BlackRock, Inc. (formerly Barclays Global Investors) (Mar. 2007-Aug. 2010). | 108 | None |
Joseph
R. Martinetto2 1962 Trustee (Trustee of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios, Schwab Strategic Trust and Laudus Trust since 2016) |
Senior Executive Vice President and Chief Financial Officer, The Charles Schwab Corporation and Charles Schwab & Co., Inc. (July 2015-present); Executive Vice President and Chief Financial Officer of The Charles Schwab Corporation and Charles Schwab & Co., Inc. (May 2007-July 2015); Director, Charles Schwab & Co., Inc. (May 2007-present); Director (Apr. 2010-present) and Chief Executive Officer (July 2013-Apr. 2015), Charles Schwab Bank; Director, Executive Vice President and Chief Financial Officer, Schwab Holdings, Inc. (May 2007-present). | 108 | None |
NAME,
YEAR OF BIRTH, AND POSITION(S) WITH THE TRUST; (TERM OF OFFICE AND LENGTH OF TIME SERVED3) |
PRINCIPAL
OCCUPATIONS DURING THE PAST FIVE YEARS |
OFFICERS | |
Marie
A. Chandoha 1961 President and Chief Executive Officer (Officer of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios, Schwab Strategic Trust and Laudus Trust since 2010) |
Director, President and Chief Executive Officer (Dec. 2010-present), Chief Investment Officer (Sept. 2010-Oct. 2011), Charles Schwab Investment Management, Inc.; Trustee (Jan. 2016-present), President, Chief Executive Officer (Dec. 2010-present), and Chief Investment Officer (Sept. 2010-Oct. 2011), Schwab Funds, Laudus Funds and Schwab ETFs; Director, Charles Schwab Worldwide Funds plc and Charles Schwab Asset Management (Ireland) Limited (Jan. 2011-present); Global Head of Fixed Income Business Division, BlackRock, Inc. (formerly Barclays Global Investors) (Mar. 2007-Aug. 2010). |
NAME,
YEAR OF BIRTH, AND POSITION(S) WITH THE TRUST; (TERM OF OFFICE AND LENGTH OF TIME SERVED3) |
PRINCIPAL
OCCUPATIONS DURING THE PAST FIVE YEARS |
OFFICERS | |
Mark
Fischer 1970 Treasurer and Chief Financial Officer (Officer of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios, Schwab Strategic Trust and Laudus Trust since 2013) |
Treasurer and Chief Financial Officer, Schwab Funds, Laudus Funds and Schwab ETFs (Jan. 2016-present); Assistant Treasurer, Schwab Funds and Laudus Funds (Dec. 2013-Dec. 2015), Schwab ETFs (Nov. 2013-Dec. 2015); Vice President, Charles Schwab Investment Management, Inc. (Oct. 2013-present); Executive Director, J.P. Morgan Investor Services (Apr. 2011-Sept. 2013); Assistant Treasurer, Massachusetts Financial Service Investment Management (May 2005-Mar. 2011). |
George
Pereira 1964 Senior Vice President and Chief Operating Officer (Officer of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust and Schwab Annuity Portfolios since 2004; Laudus Trust since 2006; Schwab Strategic Trust since 2009) |
Senior Vice President and Chief Financial Officer (Nov. 2004-present), Chief Operating Officer (Jan. 2011-present), Charles Schwab Investment Management, Inc.; Senior Vice President and Chief Operating Officer (Jan. 2016-present), Treasurer and Chief Financial Officer, Laudus Funds (June 2006-Dec. 2015); Treasurer and Principal Financial Officer, Schwab Funds (Nov. 2004-Dec. 2015) and Schwab ETFs (Oct. 2009-Dec. 2015); Director, Charles Schwab Worldwide Funds plc and Charles Schwab Asset Management (Ireland) Limited (Apr. 2005-present). |
Omar
Aguilar 1970 Senior Vice President and Chief Investment Officer – Equities and Multi-Asset Strategies (Officer of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios, Schwab Strategic Trust and Laudus Trust since 2011) |
Senior Vice President and Chief Investment Officer – Equities and Multi-Asset Strategies, Charles Schwab Investment Management, Inc. (Apr. 2011-present); Senior Vice President and Chief Investment Officer – Equities, Schwab Funds, Laudus Funds and Schwab ETFs (June 2011-present); Head of the Portfolio Management Group and Vice President of Portfolio Management, Financial Engines, Inc. (May 2009-Apr. 2011); Head of Quantitative Equity, ING Investment Management (July 2004-Jan. 2009). |
Brett
Wander 1961 Senior Vice President and Chief Investment Officer – Fixed Income (Officer of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios, Schwab Strategic Trust and Laudus Trust since 2011) |
Senior Vice President and Chief Investment Officer – Fixed Income, Charles Schwab Investment Management, Inc. (Apr. 2011-present); Senior Vice President and Chief Investment Officer – Fixed Income, Schwab Funds, Laudus Funds and Schwab ETFs (June 2011-present); Senior Managing Director, Global Head of Active Fixed-Income Strategies, State Street Global Advisors (Jan. 2008-Oct. 2010); Director of Alpha Strategies Loomis, Sayles & Company (Apr. 2006-Jan. 2008). |
David
Lekich 1964 Chief Legal Officer and Secretary, Schwab Funds and Schwab ETFs Vice President and Assistant Clerk, Laudus Funds (Officer of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios, Schwab Strategic Trust and Laudus Trust since 2011) |
Senior Vice President (Sept. 2011-present), Vice President (Mar. 2004-Sept. 2011), Charles Schwab & Co., Inc.; Senior Vice President and Chief Counsel (Sept. 2011-present), Vice President (Jan. 2011-Sept. 2011), Charles Schwab Investment Management, Inc.; Secretary (Apr. 2011-present) and Chief Legal Officer (Dec. 2011-present), Schwab Funds; Vice President and Assistant Clerk, Laudus Funds (Apr. 2011-present); Secretary (May 2011-present) and Chief Legal Officer (Nov. 2011-present), Schwab ETFs. |
NAME,
YEAR OF BIRTH, AND POSITION(S) WITH THE TRUST; (TERM OF OFFICE AND LENGTH OF TIME SERVED3) |
PRINCIPAL
OCCUPATIONS DURING THE PAST FIVE YEARS |
OFFICERS | |
Catherine
MacGregor 1964 Vice President and Assistant Secretary, Schwab Funds and Schwab ETFs Chief Legal Officer, Vice President and Clerk, Laudus Funds (Officer of The Charles Schwab Family of Funds, Schwab Investments, Schwab Capital Trust, Schwab Annuity Portfolios and Laudus Trust since 2005; Schwab Strategic Trust since 2009) |
Vice President, Charles Schwab & Co., Inc., Charles Schwab Investment Management, Inc. (July 2005-present); Vice President (Dec. 2005-present), Chief Legal Officer and Clerk (Mar. 2007-present), Laudus Funds; Vice President (Nov. 2005-present) and Assistant Secretary (June 2007-present), Schwab Funds; Vice President and Assistant Secretary, Schwab ETFs (Oct. 2009-present). |
1 | Each Trustee shall hold office until the election and qualification of his or her successor, or until he or she dies, resigns or is removed. The retirement policy requires that each independent trustee retire by December 31 of the year in which the Trustee turns 74 or the Trustee’s twentieth year of service as an independent trustee on any trust in the Fund Complex, whichever occurs first. |
2 | Mr. Bettinger, Ms. Chandoha and Mr. Martinetto are Interested Trustees because they own stock of The Charles Schwab Corporation, the parent company of the investment adviser. |
3 | The President, Treasurer and Secretary/Clerk hold office until their respective successors are chosen and qualified or until he or she sooner dies, resigns, is removed or becomes disqualified. Each of the other officers serves at the pleasure of the Board. |
Name of Trustee | Aggregate
Compensation from the Funds in this SAI |
Pension
or Retirement Benefits Accrued as Part of Fund Expenses |
Total
Compensation from the Funds and Fund Complex Paid to Trustees |
INTERESTED TRUSTEES | |||
Walter W. Bettinger II | None | N/A | None |
Marie A. Chandoha1 | None | N/A | None |
Joseph R. Martinetto1 | None | N/A | None |
INDEPENDENT TRUSTEES | |||
Robert W. Burns | $50,238 | N/A | $248,000 |
John F. Cogan1 | $23,662 | N/A | $304,500 |
Stephen Timothy Kochis | $48,310 | N/A | $245,500 |
David L. Mahoney1 | $22,095 | N/A | $282,000 |
Kiran M. Patel1 | $23,662 | N/A | $299,500 |
Kimberly S. Patmore1 | $22,095 | N/A | $211,500 |
Charles A. Ruffel | $49,274 | N/A | $317,250 |
Gerald B. Smith1 | $23,662 | N/A | $299,500 |
Joseph H. Wender1 | $22,095 | N/A | $282,000 |
Name of Trustee | Dollar
Range of Trustee Ownership of the Fund Included in the SAI |
Aggregate
Dollar Range of Trustee Ownership in the Family of Investment Companies |
Interested Trustees | ||
Walter W. Bettinger II | Schwab
U.S. Broad Market ETF Over $100,000 Schwab U.S. Large-Cap ETF $1-$10,000 Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF $1-$10,000 Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF $1-$10,000 Schwab International Small-Cap Equity ETF $1-$10,000 Schwab Emerging Markets Equity ETF $1-$10,000 |
Over $100,000 |
Marie A. Chandoha1 | Schwab
U.S. Broad Market ETF $50,001 - $100,000 Schwab U.S. Large-Cap ETF Over $100,000 Schwab U.S. Large-Cap Growth ETF Over $100,000 Schwab U.S. Large-Cap Value ETF $10,001 - $50,000 Schwab U.S. Mid-Cap ETF $10,001 - $50,000 Schwab U.S. Small-Cap ETF Over $100,000 Schwab U.S. Dividend Equity ETF Over $100,000 Schwab International Equity ETF $50,001 - $100,000 Schwab International Small-Cap Equity ETF $50,001 - $100,000 Schwab Emerging Markets Equity ETF Over $100,000 |
Over $100,000 |
Joseph R. Martinetto1 | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF $1-$10,000 Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF $1-$10,000 Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF $1-$10,000 Schwab International Small-Cap Equity ETF $1-$10,000 Schwab Emerging Markets Equity ETF $1-$10,000 |
Over $100,000 |
Independent Trustees | ||
Robert W. Burns | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF Over $100,000 Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF Over $100,000 Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF $50,001 - $100,000 Schwab International Small-Cap Equity ETF $50,001 - $100,000 Schwab Emerging Markets Equity ETF $50,001 - $100,000 |
Over $100,000 |
John F. Cogan1 | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF None Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF None Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF None Schwab International Small-Cap Equity ETF None Schwab Emerging Markets Equity ETF None |
Over $100,000 |
Name of Trustee | Dollar
Range of Trustee Ownership of the Fund Included in the SAI |
Aggregate
Dollar Range of Trustee Ownership in the Family of Investment Companies |
Independent Trustees | ||
Stephen Timothy Kochis | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF Over $100,000 Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF None Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF None Schwab International Small-Cap Equity ETF None Schwab Emerging Markets Equity ETF None |
Over $100,000 |
David L. Mahoney1 | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF None Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF None Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF None Schwab International Small-Cap Equity ETF None Schwab Emerging Markets Equity ETF None |
Over $100,000 |
Kiran M. Patel1 | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF None Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF None Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF None Schwab International Small-Cap Equity ETF None Schwab Emerging Markets Equity ETF None |
Over $100,000 |
Kimberly S. Patmore1 | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF None Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF None Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF $10,001 - $50,000 Schwab International Small-Cap Equity ETF None Schwab Emerging Markets Equity ETF None |
Over $100,000 |
Charles A. Ruffel | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF $1-$10,000 Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF $10,001 - $50,000 Schwab U.S. Small-Cap ETF $1-$10,000 Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF $50,001 - $100,000 Schwab International Small-Cap Equity ETF $1-$10,000 Schwab Emerging Markets Equity ETF $1-$10,000 |
Over $100,000 |
Name of Trustee | Dollar
Range of Trustee Ownership of the Fund Included in the SAI |
Aggregate
Dollar Range of Trustee Ownership in the Family of Investment Companies |
Independent Trustees | ||
Gerald B. Smith1 | Schwab
U.S. Broad Market ETF $50,001 - $100,000 Schwab U.S. Large-Cap ETF Over $100,000 Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF $50,001 - $100,000 Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF Over $100,000 Schwab International Small-Cap Equity ETF None Schwab Emerging Markets Equity ETF None |
Over $100,000 |
Joseph H. Wender1 | Schwab
U.S. Broad Market ETF None Schwab U.S. Large-Cap ETF None Schwab U.S. Large-Cap Growth ETF None Schwab U.S. Large-Cap Value ETF None Schwab U.S. Mid-Cap ETF None Schwab U.S. Small-Cap ETF None Schwab U.S. Dividend Equity ETF None Schwab International Equity ETF None Schwab International Small-Cap Equity ETF None Schwab Emerging Markets Equity ETF None |
Over $100,000 |
Fund | Name and Address | Percent of Ownership |
Schwab U.S. Broad Market ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
74.21% |
Fund | Name and Address | Percent of Ownership |
Schwab U.S. Large-Cap ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
86.67% |
Schwab
Wealth Investment Advisory Inc. 211 Main Street San Francisco, CA 94105 |
10.90% 1 | |
Schwab U.S. Large-Cap Growth ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
87.48% |
Financial
Engines Advisors LLC 1050 Enterprise Way, 3rd Floor Sunnyvale, CA 94089 |
13.90% 1 | |
Honkamp
Krueger Financial Services 3390 Asbury Road Dubuque, IA 52002 |
6.83% 1 | |
The
Charles Schwab Trust Company 211 Main St. San Francisco, CA 94105 |
5.57% 1 | |
Schwab U.S. Large-Cap Value ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
82.66% |
Financial
Engines Advisors LLC 1050 Enterprise Way, 3rd Floor Sunnyvale, CA 94089 |
13.75% 1 | |
The
Charles Schwab Trust Company 211 Main St. San Francisco, CA 94105 |
7.01% 1 | |
Honkamp
Krueger Financial Services 3390 Asbury Road Dubuque, IA 52002 |
5.48% 1 | |
Schwab U.S. Mid-Cap ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
83.77% |
Schwab U.S. Small-Cap ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
82.87% |
Schwab
Wealth Investment Advisory Inc. 211 Main Street San Francisco, CA 94105 |
9.60% 1 | |
Fund | Name and Address | Percent of Ownership |
Schwab U.S. Dividend Equity ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
71.80% |
National
Financial Services Corporation 1000 Plaza 5 10th Floor Jersey City, New Jersey 07311 |
6.71% | |
Schwab International Equity ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
64.57% |
Apex
Clearing Corporation 1700 Pacific Avenue Suite 1400 Dallas, Texas 75201 |
11.19% | |
Credit
Suisse Securities (USA) LLC (Pershing LLC) 1 Pershing Plaza Jersey City, New Jersey 07399 |
9.44% | |
Schwab
Wealth Investment Advisory Inc. 211 Main Street San Francisco, CA 94105 |
7.07% 1 | |
Schwab International Small-Cap Equity ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
85.57% |
Schwab
Wealth Investment Advisory Inc. 211 Main Street San Francisco, CA 94105 |
29.67% 1 | |
Schwab Emerging Markets Equity ETF | Charles
Schwab & Co. 211 Main St. San Francisco, CA 94105 |
82.83% |
Schwab
Wealth Investment Advisory Inc. 211 Main Street San Francisco, CA 94105 |
13.52% 1 |
1 | These shares are held within the Charles Schwab & Co., Inc. account listed elsewhere in the table. |
FUND | FEE |
Schwab U.S. Broad Market ETF | 0.03% |
Schwab U.S. Large-Cap ETF | 0.03% |
Schwab U.S. Large-Cap Growth ETF | 0.04% |
Schwab U.S. Large-Cap Value ETF | 0.04% |
Schwab U.S. Mid-Cap ETF | 0.06% |
Schwab U.S. Small-Cap ETF | 0.06% |
Schwab U.S. Dividend Equity ETF | 0.07% |
Schwab International Equity ETF | 0.07% |
Schwab International Small-Cap Equity ETF | 0.16% |
Schwab Emerging Markets Equity ETF | 0.13% |
Fund | 2016 | 2015 | 2014 | |
Schwab U.S. Broad Market ETF | $1,819,971 | $1,839,848 | $1,196,492 | |
Schwab U.S. Large-Cap ETF | $1,661,355 | $1,600,825 | $988,735 | |
Schwab U.S. Large-Cap Growth ETF | $1,618,706 | $1,343,224 | $815,131 | |
Schwab U.S. Large-Cap Value ETF | $1,184,491 | $918,094 | $627,219 | |
Schwab U.S. Mid-Cap ETF | $1,441,289 | $1,099,636 | $667,772 | |
Schwab U.S. Small-Cap ETF | $2,381,510 | $2,050,585 | $1,516,864 | |
Schwab U.S. Dividend Equity ETF | $2,272,356 | $1,844,644 | $1,125,634 | |
Schwab International Equity ETF | $3,972,170 | $2,653,659 | $1,784,166 | |
Schwab International Small-Cap Equity ETF | $1,149,448 | $869,357 | $695,136 | |
Schwab Emerging Markets Equity ETF | $2,193,540 | $1,819,239 | $1,413,989 |
Name | Registered
Investment Companies (this amount does not include the funds in this SAI) |
Other
Pooled Investment Vehicles |
Other Accounts | |||
Number
of Accounts |
Total Assets | Number
of Accounts |
Total
Assets |
Number
of Accounts |
Total Assets | |
Agnes Hong | 19 | $56,508,431,437 | 0 | $0 | 0 | $0 |
Ferian Juwono | 13 | $51,434,996,277 | 0 | $0 | 0 | $0 |
Chuck Craig | 7 | $7,923,782,690 | 0 | $0 | 0 | $0 |
Portfolio Manager | Fund | Dollar Range of Fund Shares Owned |
Agnes Hong | ||
Schwab U.S. Broad Market ETF | None | |
Schwab U.S. Large-Cap ETF | $100,001-$500,000 | |
Schwab U.S. Large Cap Growth ETF | $10,001-$50,000 | |
Schwab U.S. Large-Cap Value ETF | $1-$10,000 | |
Schwab U.S. Mid-Cap ETF | None | |
Schwab U.S. Small-Cap ETF | $100,001-$500,000 | |
Schwab U.S. Dividend Equity ETF | $10,001-$50,000 | |
Schwab International Equity ETF | $50,001-$100,000 | |
Schwab International Small-Cap Equity ETF | $100,001-$500,000 | |
Schwab Emerging Markets Equity ETF | $10,001-$50,000 | |
Ferian Juwono | ||
Schwab U.S. Broad Market ETF | None | |
Schwab U.S. Large-Cap ETF | None | |
Schwab US Large Cap Growth ETF | None | |
Schwab US Large-Cap Value ETF | None | |
Schwab U.S. Mid-Cap ETF | None | |
Schwab U.S. Small-Cap ETF | None | |
Schwab U.S. Dividend Equity ETF | None | |
Schwab International Equity ETF | None | |
Schwab International Small-Cap Equity ETF | None | |
Schwab Emerging Markets Equity ETF | None | |
Chuck Craig | ||
Schwab U.S. Broad Market ETF | None | |
Schwab U.S. Large-Cap ETF | $100,001-$500,000 | |
Schwab US Large Cap Growth ETF | None | |
Schwab US Large-Cap Value ETF | None | |
Schwab U.S. Mid-Cap ETF | $1-$10,000 | |
Schwab U.S. Small-Cap ETF | $50,001-$100,000 | |
Schwab U.S. Dividend Equity ETF | $10,001-$50,000 | |
Schwab International Equity ETF | $50,001-$100,000 | |
Schwab International Small-Cap Equity ETF | $1-$10,000 |
Portfolio Manager | Fund | Dollar Range of Fund Shares Owned |
Schwab Emerging Markets Equity ETF | $50,001-$100,000 |
Fund | 2016 | 2015 | |
Schwab U.S. Broad Market ETF | 5% | 3% | |
Schwab U.S. Large-Cap ETF | 4% | 4% | |
Schwab U.S. Large-Cap Growth ETF | 7% | 10% | |
Schwab U.S. Large-Cap Value ETF | 6% | 15% | |
Schwab U.S. Mid-Cap ETF | 21% | 12% | |
Schwab U.S. Small-Cap ETF | 11% | 9% | |
Schwab U.S. Dividend Equity ETF | 22% | 19% | |
Schwab International Equity ETF | 5% | 4% | |
Schwab International Small-Cap Equity ETF | 23% | 23% | |
Schwab Emerging Markets Equity ETF | 10% | 8% |
Fund | 2016 | 2015 | 2014 | |
Schwab U.S. Broad Market ETF | $210,271 | $65,766 | $51,366 | |
Schwab U.S. Large-Cap ETF | $82,036 | $30,529 | $25,759 | |
Schwab U.S. Large-Cap Growth ETF | $45,068 | $21,091 | $16,788 | |
Schwab U.S. Large-Cap Value ETF | $35,500 | $12,901 | $19,946 | |
Schwab U.S. Mid-Cap ETF | $205,999 | $39,251 | $27,567 | |
Schwab U.S. Small-Cap ETF | $350,073 | $101,850 | $135,420 | |
Schwab U.S. Dividend Equity ETF | $175,280 | $27,336 | $18,284 | |
Schwab International Equity ETF | $98,598 | $99,519 | $83,544 | |
Schwab International Small-Cap Equity ETF | $30,393 | $40,963 | $15,885 | |
Schwab Emerging Markets Equity ETF | $418,717 | $224,849 | $186,244 |
Fund | Regular Broker-Dealer | Value of Fund's Holdings* |
Schwab U.S. Broad Market ETF | Merrill Lynch, Pierce, Fenner & Smith, Inc. | $49,636,649 |
Goldman Sachs & Co. | $19,697,183 | |
Bank of New York Mellon Corp. | $13,562,418 | |
Charles Schwab & Co., Inc. | $11,540,000 | |
Investment Technology Group, Inc. | $226,837 |
Fund | Regular Broker-Dealer | Value of Fund's Holdings* |
Schwab U.S. Large-Cap ETF | Wells Fargo Securities LLC | $71,204,125 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | $50,570,736 | |
Goldman Sachs & Co. | $20,098,125 | |
Charles Schwab & Co., Inc. | $11,786,867 | |
Schwab U.S. Large-Cap Growth ETF | Charles Schwab & Co., Inc. | $11,482,931 |
Schwab U.S. Large-Cap Value ETF | Wells Fargo Securities LLC | $55,280,001 |
Merrill Lynch, Pierce, Fenner & Smith, Inc. | $39,003,424 | |
Goldman Sachs & Co. | $15,322,234 | |
Schwab U.S. Small-Cap ETF | KCG Americas, LLC | $1,068,664 |
Schwab International Equity ETF | HSBC Securities (U.S.A), Inc. | $62,166,329 |
UBS Securities LLC | $22,394,904 | |
Barclays Capital, Inc. | $16,242,010 | |
Credit Suisse Securities (USA) LLC | $10,686,921 | |
Deutsche Bank | $8,418,655 | |
Macquarie Capital (USA) Inc. | $7,594,485 | |
Schwab Emerging Markets Equity ETF | China Merchants Holdings International Co. Ltd. | $5,532,084 |
Banco Santander, S.A. | $3,952,782 | |
Barclays Capital, Inc. | $2,597,537 |
* | Includes securities issued by regular broker-dealer’s parent and affiliates, if any. |
Name of Fund | Approximate
Value of One Creation Unit |
Standard
Creation/Redemption Transaction Fee |
Maximum
Additional Creation Transaction Fee* |
Maximum
Additional Redemption Transaction Fee* |
Schwab
U.S. Broad Market ETF |
$2,672,500 | $1,500 | 3.0% | 2.0% |
Schwab
U.S. Large-Cap ETF |
$2,628,390 | $500 | 3.0% | 2.0% |
Schwab
U.S. Large-Cap Growth ETF |
$2,776,330 | $500 | 3.0% | 2.0% |
Schwab
U.S. Large-Cap Value ETF |
$2,357,115 | $500 | 3.0% | 2.0% |
Schwab U.S. Mid-Cap ETF | $2,237,310 | $500 | 3.0% | 2.0% |
Schwab
U.S. Small-Cap ETF |
$3,023,590 | $1,500 | 3.0% | 2.0% |
Schwab
U.S. Dividend Equity ETF |
$2,149,955 | $250 | 3.0% | 2.0% |
Schwab
International Equity ETF |
$2,760,170 | $15,000 | 3.0% | 2.0% |
Name of Fund | Approximate
Value of One Creation Unit |
Standard
Creation/Redemption Transaction Fee |
Maximum
Additional Creation Transaction Fee* |
Maximum
Additional Redemption Transaction Fee* |
Schwab
International Small- Cap Equity ETF |
$2,906,590 | $12,500 | 3.0% | 2.0% |
Schwab
Emerging Markets Equity ETF |
$2,199,300 | $6,000 | 3.0% | 2.0% |
* | As a percentage of the total amount invested or redeemed. |
Argentina | ||||
February
27 February 28 March 24 |
April
14 May 1 May 25 |
June
19 June 20 August 15 |
October
9 November 27 |
December
8 December 25 |
Australia | ||||
January
2 January 26 |
April
14 April 17 |
April
25 June 12 |
December 25 | December 26 |
Austria | ||||
January
6 April 17 May 1 |
May
25 June 5 June 15 |
August
15 October 26 |
November
1 December 8 |
December
25 December 26 |
Belgium | ||||
April
17 May 1 |
May
25 June 5 |
July
21 August 15 |
November 1 | December 25 |
Brazil | ||||
January
25 February 27 February 28 |
April
14 April 21 May 1 |
June
15 September 7 October 12 |
November
2 November 15 November 20 |
December
25 December 29 |
Canada | ||||
January
2 February 20 |
April
14 May 22 |
July
3 August 7 |
September
4 October 9 |
December
25 December 26 |
Chile | ||||
January
2 April 14 April 19 |
May
1June 26 August 15 |
September
18 September 19 October 9 |
October
27 November 1 |
December
8 December 25 |
China | ||||
January
2 January 3 January 27 January 30 |
January
31 February 1 February 2 April 3 |
April
4 April 5 May 1 May 29 |
May
30 October 2 October 3 |
October
4 October 5 October 6 |
Colombia | ||||
January
9 March 20 April 13 April 14 |
May
1 May 29 June 19 June 26 |
July
3 July 20 August 7 |
August
21 October 16 November 6 |
November
13 December 8 December 25 |
The Czech Republic | ||||
April
14 April 17 |
May
1 May 8 |
July
5 July 6 |
September
28 November 17 |
December
25 December 26 |
Denmark | ||||
April
13 April 14 |
April
17 May 12 |
May
25 May 26 |
June
5 December 25 |
December 26 |
Egypt | ||||
The Egyptian market is closed every Friday. | ||||
January
25 April 17 |
April
25 May 1 |
June
26 August 31 |
September
1 September 21 |
October
6 November 30 |
Finland | ||||
January
6 April 14 |
April
17 May 1 |
May
25 June 23 |
December
6 December 25 |
December 26 |
France | ||||
April
14 April 17 May 1 |
May
8 May 25 |
June
5 July 14 |
August
15 November 1 |
December
25 December 26 |
Germany | ||||
April
14 April 17 |
May
1 May 25 |
June
5 October 3 |
December 25 | December 26 |
Greece | ||||
January
6 February 27 |
April
14 April 17 |
May
1 June 5 |
August
15 October 28 |
December
25 December 26 |
Hong Kong | ||||
January
2 January 30 January 31 |
April
4 April 14 April 17 |
May
1 May 3 May 30 |
October
2 October 5 |
December
25 December 26 |
Hungary | ||||
March
15 April 14 |
April
17 May 1 |
June
5 October 23 |
November
1 December 25 |
December 26 |
India | ||||
January
26 February 23 |
April
4 April 14 |
May
1 August 15 |
August
24 October 2 |
November
3 December 25 |
Indonesia | ||||
January
2 March 28 April 14 April 24 |
May
1 May 11 May 25 June 1 |
June
26 June 27 June 28 June 29 |
June
30 August 17 September 1 September 21 |
December
1 December 25 December 26 |
Ireland | ||||
March
17 April 17 |
May
1 June 5 |
August
7 October 30 |
December 25 | December 26 |
Israel | ||||
The Israel market is closed every Friday. | ||||
April
11 April 17 |
May
2 May 31 |
September
21 September 22 |
October 5 | October 12 |
Italy | ||||
January
6 April 14 April 17 |
April
25 May 1 |
June
2 August 15 |
November
1 December 8 |
December
25 December 26 |
Japan | ||||
January
2 January 2 January 9 |
March
20 May 3 May 4 |
May
5 July 17 August 11 |
September
18 October 9 |
November
3 November 23 |
Luxembourg | ||||
April
17 May 1 |
May
25 June 5 |
June
23 August 15 |
November
1 December 25 |
December 26 |
Malaysia | ||||
January
2 January 30 February 1 |
February
9 May 1 May 10 |
June
12 June 26 June 27 |
August
31 September 1 September 21 |
October
18 December 1 December 25 |
Mexico | ||||
February
6 March 20 |
April
13 April 14 |
May
1 November 2 |
November
20 December 12 |
December 25 |
Netherlands | ||||
April
14 April 17 |
April
27 May 5 |
May
25 June 5 |
December 25 | December 26 |
New Zealand | ||||
January
2 January 3 January 23 January 30 |
February
6 March 20 April 14 April 17 |
April
18 April 25 June 5 September 25 |
October
20 October 23 October 30 November 17 |
December
4 December 25 December 26 |
Norway | ||||
April
13 April 14 |
April
17 May 1 |
May
17 May 25 |
June
5 December 25 |
December 26 |
Philippines | ||||
April
13 April 14 May 1 |
June
12 June 26 August 21 |
August
28 September 1 |
October
31 November 1 |
November
30 December 25 |
Poland | ||||
January
6 April 14 |
April
17 May 1 |
May
3 June 15 |
August
15 November 1 |
December
25 December 26 |
Portugal | ||||
April
14 April 25 |
May
1 June 15 |
August
15 October 5 |
November
1 December 1 |
December
8 December 25 |
Russia | ||||
January
2 January 3 January 4 |
January
5 January 6 February 23 |
February
24 March 8 May 1 |
May
8 May 9 |
June
12 November 6 |
Singapore | ||||
January
2 January 30 |
April
14 May 1 |
May
10 June 26 |
August
9 September 1 |
October
18 December 25 |
South Africa | ||||
January
2 March 21 April 14 |
April
17 April 27 May 1 |
June
16 August 9 |
September
25 December 25 |
December
26 December 27 |
South Korea | ||||
January
27 January 30 March 1 May 1 |
May
3 May 5 June 6 |
August
15 October 3 October 4 |
October
5 October 6 October 9 |
December
20 December 25 December 29 |
Spain | ||||
January
6 April 13 |
April
14 May 1 |
August
15 October 12 |
November
1 December 6 |
December
8 December 25 |
Sweden | ||||
January
6 April 14 |
April
17 May 1 |
May
25 June 6 |
June
23 December 25 |
December 26 |
Switzerland | ||||
January
2 April 14 |
April
17 May 1 |
May
25 June 5 |
August
1 December 25 |
December 26 |
Taiwan | ||||
January
2 January 27 January 30 |
January
31 February 1 February 27 |
February
28 April 3 April 4 |
May
29 May 30 October 4 |
October
9 October 10 |
Thailand | ||||
January
2 January 3 February 13 |
April
6 April 13 April 14 |
April
17 May 1 May 5 |
May
10 July 10 August 14 |
October
23 December 5 December 11 |
Turkey | ||||
May
1 May 19 |
June
26 June 27 |
August 30 | September 1 | September 4 |
United Kingdom | ||||
January
2 April 14 |
April
17 May 1 |
May
29 August 28 |
December 25 | December 26 |
I. | INTRODUCTION |
II. | PHILOSOPHY |
III. | PROXY VOTING GUIDELINES |
A. | DIRECTORS AND AUDITORS |
i. | Directors |
ii. | Auditors |
B. | BOARD MATTERS |
i. | Classified Boards |
ii. | Majority Voting |
iii. | Cumulative Voting |
iv. | Proxy Access |
v. | Independent Chair |
C. | COMPENSATION |
i. | Advisory Vote on Executive Compensation and Frequency |
ii. | Equity Compensation Plans |
iii. | Employee Stock Purchase Plans |
iv. | Re-price/Exchange Option Plans |
D. | ANTI-TAKEOVER |
i. | Shareholder Rights Plans (“Poison Pills”) |
ii. | Right to Call Special Meeting |
iii. | Right to Act by Written Consent |
iv. | Supermajority Voting |
E. | CAPITAL STRUCTURE, MERGERS AND ACQUISITIONS |
i. | Increase in Authorized Common Shares |
ii. | Preferred Shares |
iii. | Mergers and Acquisitions |
F. | ENVIRONMENTAL AND SOCIAL PROPOSALS |
i. | Political Contribution Proposals |
IV. | ADMINISTRATION |
A. | CONFLICTS OF INTERESTS |
B. | FOREIGN SECURITIES/SHAREBLOCKING |
C. | SECURITIES LENDING |
D. | SUB-ADVISORY RELATIONSHIPS |
E. | REPORTING AND RECORD RETENTION |
ITEM 28. | EXHIBITS |
(a)(1) | Certificate of Trust, dated January 27, 2009, of Schwab Strategic Trust (the Registrant or the Trust) is incorporated by reference to Exhibit (a)(1) of the Registrant’s Registration Statement, filed July 15, 2009. |
(a)(2) | Registrant’s Amended and Restated Agreement and Declaration of Trust, dated October 12, 2009, is incorporated by reference to Exhibit (a)(3) of Pre-Effective Amendment No. 2 of the Registrant’s Registration Statement, filed October 27, 2009. |
(b) | Registrant’s By-Laws, dated January 26, 2009, is incorporated by reference to Exhibit (b) of the Registrant’s Registration Statement, filed July 15, 2009. |
(c) | Reference is made to Article 5 of the Registrant’s Agreement and Declaration of Trust. |
(d)(1) | Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d) of Post-Effective Amendment No. 1 of the Registrant’s Registration Statement, filed April 21, 2010 (hereinafter referred to as PEA No. 1). |
(d)(2) | Amendment No. 1, dated July 26, 2010, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(2) of Post-Effective Amendment No. 3 of the Registrant's Registration Statement, filed July 23, 2010 (hereinafter referred to as PEA No. 3). |
(d)(3) | Amendment No. 2, dated December 17, 2010, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(3) of Post-Effective Amendment No. 7 of the Registrant’s Registration Statement, filed April 15, 2011 (hereinafter referred to as PEA No. 7). |
(d)(4) | Amendment No. 3, dated July 1, 2011, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(4) of Post-Effective Amendment No. 12 of the Registrant’s Registration Statement, filed July 8, 2011 (hereinafter referred to as PEA No. 12). |
(d)(5) | Amendment No. 4, dated October 1, 2011, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(5) of Post-Effective Amendment No. 17 of the Registrant’s Registration Statement, filed October 14, 2011 (hereinafter referred to as PEA No. 17). |
(d)(6) | Amendment No. 5, dated September 20, 2012, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(6) of Post-Effective Amendment No. 27 of the Registrant’s Registration Statement, filed on November 21, 2012. |
(d)(7) | Amendment No. 6, dated March 11, 2013, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(7) of Post-Effective Amendment No. 35 of the Registrant’s Registration Statement, filed on April 26, 2013. |
(d)(8) | Amendment No. 7, dated August 8, 2013, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(8) of Post-Effective Amendment No. 46 of the Registrant’s Registration Statement, filed on August 8, 2013 (hereinafter referred to as PEA No. 46). |
(d)(9) | Amendment No. 8, dated March 5, 2014, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(9) of Post-Effective Amendment No. 68 of the Registrant’s Registration Statement, filed on April 25, 2014 (hereinafter referred to as PEA No. 68). |
(d)(10) | Amendment No. 9, dated April 18, 2014, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(10) of PEA No. 68. |
(d)(11) | Amendment No. 10, dated February 24, 2015, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(12) of Post-Effective Amendment No. 81 of the Registrant’s Registration Statement, filed on April 24, 2015 (hereinafter referred to as PEA No. 81). |
(d)(12) | Amendment No. 11, dated March 4, 2015, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(13) of PEA No. 81. |
ITEM 28. | EXHIBITS |
(d)(13) | Amendment No. 12, dated November 12, 2015, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(14) of Post-Effective Amendment No. 85 of the Registrant’s Registration Statement, filed on December 28, 2015 (hereinafter referred to as PEA No. 85). |
(d)(14) | Amendment No. 13, dated November 17, 2015, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(15) of PEA No. 85. |
(d)(15) | Amendment No. 14, dated March 1, 2016, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (d)(16) of Post-Effective Amendment No. 89 of the Registrant’s Registration Statement, filed on May 9, 2016 (hereinafter referred to as PEA No. 89). |
(d)(16) | Amendment No. 15, dated May 2, 2016, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009 is incorporated by reference to Exhibit (d)(16) of Post-Effective Amendment No. 90 of the Registrant’s Registration Statement, filed on June 27, 2016 (hereinafter referred to as PEA No. 90). |
(d)(17) | Amendment No. 16, dated October 7, 2016, to the Advisory Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009 is filed herein as Exhibit (d)(17). |
(e)(1) | Distribution Agreement between the Registrant and SEI Investments Distribution Co. is incorporated by reference to Exhibit (e) of PEA No. 1. |
(e)(2) | Amendment No. 1, dated July 26, 2010, to Distribution Agreement between the Registrant and SEI Investments Distribution Co., dated October 12, 2009, is incorporated by reference to Exhibit (e)(2) of PEA No. 3. |
(e)(3) | Amendment No. 2, dated December 17, 2010, to Distribution Agreement between the Registrant and SEI Investments Distribution Co., dated October 12, 2009, is incorporated by reference to Exhibit (e)(3) of PEA No. 7. |
(e)(4) | Amendment No. 3, dated July 1, 2011, to the Distribution Agreement between the Registrant and SEI Investments Distribution Co., dated October 12, 2009, is incorporated by reference to Exhibit (e)(4) of PEA No. 12. |
(e)(5) | Amendment No. 4, dated October 1, 2011, to the Distribution Agreement between the Registrant and SEI Investments Distribution Co., dated October 12, 2009, is incorporated by reference to Exhibit (e)(5) of PEA No. 17. |
(e)(6) | Amendment No. 5, dated August 8, 2013, to the Distribution Agreement between the Registrant and SEI Investments Distribution Co., dated October 12, 2009, is incorporated by reference to Exhibit (e)(6) of PEA No. 46. |
(f) | Not applicable. |
(g)(1) | Custodian Agreement between the Registrant and State Street Bank and Trust Company, dated October 17, 2005, is incorporated by reference to Exhibit (g)(1) of Pre-Effective Amendment No. 1 of Registrant’s Registration Statement, filed October 7, 2009 (hereinafter referred to as Pre-Effective Amendment No. 1). |
(g)(2) | Amendment, dated October 8, 2009, to the Custodian Agreement between the Registrant and State Street Bank and Trust Company, dated October 17, 2005 is incorporated by reference to Exhibit (g)(2) of PEA No. 1. |
(g)(3) | Amendment, dated July 26, 2010, to the Custodian Agreement between the Registrant and State Street Bank and Trust Company, dated October 17, 2005, filed September 24, 2010 (hereafter referred to as PEA No. 4) is incorporated by reference to Exhibit (g)(3) of PEA No. 4. |
(g)(4) | Amendment, dated December 17, 2010, to the Custodian Agreement between the Registrant and State Street Bank and Trust Company, dated October 17, 2005, is incorporated by reference to Exhibit (g)(4) of PEA No. 7. |
(g)(5) | Amendment, dated July 1, 2011, to the Custodian Agreement between the Registrant and State Street Bank and Trust Company, dated October 17, 2005, is incorporated by reference to Exhibit (g)(5) of PEA No. 12. |
(g)(6) | Amendment, dated October 1, 2011, to the Custodian Agreement between the Registrant and State Street Bank and Trust Company, dated October 17, 2005, is incorporated by reference to Exhibit (g)(6) of PEA No. 17. |
(g)(7) | Amendment, dated July 8, 2013, to the Custodian Agreement between the Registrant and State Street Bank and Trust Company, dated October 17, 2005, is incorporated by reference to Exhibit (g)(7) of Post-Effective Amendment No. 56 of the Registrant’s Registration Statement, filed on December 26, 2013, (hereinafter referred to as PEA No. 56). |
(h)(1) | Administration Agreement between the Registrant and Charles Schwab Investment Management, Inc, dated October 12, 2009, is incorporated by reference to Exhibit (h)(1) of Pre-Effective Amendment No. 1. |
ITEM 28. | EXHIBITS |
(h)(1)(a) | Amendment No. 1, dated July 26, 2010, to the Administration Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (h)(8) of PEA No. 3. |
(h)(1)(b) | Amendment No. 2, dated December 17, 2010, to the Administration Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (h)(1)(b) of PEA No. 7. |
(h)(1)(c) | Amendment No. 3, dated July 1, 2011, to the Administration Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (h)(1)(c) of PEA No. 12. |
(h)(1)(d) | Amendment No. 4, dated October 1, 2011, to the Administration Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (h)(1)(d) of PEA No. 17. |
(h)(1)(e) | Amendment No. 5, dated August 8, 2013, to the Administration Agreement between the Registrant and Charles Schwab Investment Management, Inc., dated October 12, 2009, is incorporated by reference to Exhibit (h)(1)(e) of PEA No. 46. |
(h)(2) | Transfer Agency Agreement between the Registrant and State Street Bank and Trust Company, dated October 8, 2009, is incorporated by reference to Exhibit (h)(2) of Pre-Effective Amendment No. 1. |
(h)(2)(a) | Amendment, dated July 26, 2010, to the Transfer Agency Agreement between the Registrant and State Street Bank and Trust Company, dated October 8, 2009, filed September 24, 2010 is incorporated by reference to Exhibit (h)(9) of PEA No. 4. |
(h)(2)(b) | Amendment, dated December 17, 2010, to the Transfer Agency Agreement between the Registrant and State Street Bank and Trust Company, dated October 8, 2009, is incorporated by reference to Exhibit (h)(2)(b) of PEA No. 7. |
(h)(2)(c) | Amendment, dated July 1, 2011, to the Transfer Agency Agreement between the Registrant and State Street Bank and Trust Company, dated October 8, 2009, is incorporated by reference to Exhibit (h)(2)(c) of PEA No. 12. |
(h)(2)(d) | Amendment, dated October 1, 2011, to the Transfer Agency Agreement between the Registrant and State Street Bank and Trust Company, dated October 8, 2009, is incorporated by reference to Exhibit (h)(2)(d) of PEA No. 17. |
(h)(2)(e) | Amendment, dated July 8, 2013, to the Transfer Agency Agreement between the Registrant and State Street Bank and Trust Company, dated October 8, 2009, is incorporated by reference to Exhibit (h)(2)(e) of PEA No. 56. |
(h)(3) | Authorized Participant Agreement is incorporated by reference to Exhibit (h)(3) of Pre-Effective Amendment No. 1. |
(h)(4) | Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(4) of Pre-Effective Amendment No. 1. |
(h)(4)(a) | Amendment, dated October 8, 2009, to the Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(5) of PEA No. 1. |
(h)(4)(b) | Amendment, dated July 26, 2010, to the Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, filed September 24, 2010 is incorporated by reference to Exhibit (g)(10) of PEA No. 4. |
(h)(4)(c) | Amendment, dated December 17, 2010, to the Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(4)(c) of PEA No. 7. |
(h)(4)(d) | Amendment, dated July 1, 2011, to the Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(4)(d) of PEA No. 12. |
(h)(4)(e) | Amendment, dated October 1, 2011, to the Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(4)(e) of PEA No. 17. |
(h)(4)(f) | Amendment, dated July 8, 2013, to the Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(4)(f) of PEA No. 56. |
(h)(4)(g) | Amendment, dated January 20, 2016, to Appendix A of the Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, is filed herein as Exhibit (h)(4)(g). |
ITEM 28. | EXHIBITS |
(h)(4)(h) | Amendment, dated August 18, 2016, to Appendix A of the Master Fund Accounting and Services Agreement between the Registrant and State Street Bank and Trust Company, dated October 1, 2005, is filed herein as Exhibit (h)(4)(h). |
(h)(5) | Sub-Administration Agreement between the Charles Schwab Investment Management, Inc. and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(6) of Pre-Effective Amendment No. 1. |
(h)(5)(a) | Amendment, dated October 8, 2009, to the Sub-Administration Agreement between the Charles Schwab Investment Management Company, Inc. and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(7) of PEA No. 1. |
(h)(5)(b) | Amendment, dated July 26, 2010 to the Sub-Administration Agreement between the Charles Schwab Investment Management Company, Inc. and State Street Bank and Trust Company, dated October 1, 2005, filed September 24, 2010 is incorporated by reference to Exhibit (g)(11) of PEA No. 4. |
(h)(5)(c) | Amendment, dated December 17, 2010, to the Sub-Administration Agreement between the Charles Schwab Investment Management Company, Inc. and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(5)(c) of PEA No. 7. |
(h)(5)(d) | Amendment, dated July 1, 2011, to the Sub-Administration Agreement between the Charles Schwab Investment Management Company, Inc. and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(5)(d) of PEA No. 12. |
(h)(5)(e) | Amendment, dated October 1, 2011, to the Sub-Administration Agreement between the Charles Schwab Investment Management Company, Inc. and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(5)(e) of PEA No. 17. |
(h)(5)(f) | Amendment to the Sub-Administration Agreement between the Charles Schwab Investment Management Company, Inc. and State Street Bank and Trust Company, dated October 1, 2005, is incorporated by reference to Exhibit (h)(5)(f) of PEA No. 56. |
(i) | Opinion and Consent of Counsel is filed herein as Exhibit (i). |
(j)(1) | Consent of PricewaterhouseCoopers LLP is filed herein as Exhibit (j)(1). |
(j)(2) | Power of Attorney executed by Walter W. Bettinger II, dated January 1, 2016 is incorporated by reference to Exhibit (j)(2) of Post-Effective Amendment No. 86 of the Registrant’s Registration Statement, filed on January 12, 2016 (hereinafter referred to as PEA No. 86). |
(j)(3) | Power of Attorney executed by Marie A. Chandoha, dated January 1, 2016 is incorporated by reference to Exhibit (j)(3) of PEA No. 86. |
(j)(4) | Power of Attorney executed by Joseph R. Martinetto, dated January 1, 2016 is incorporated by reference to Exhibit (j)(4) of PEA No. 86. |
(j)(5) | Power of Attorney executed by Robert W. Burns, dated January 1, 2016 is incorporated by reference to Exhibit (j)(5) of PEA No. 86. |
(j)(6) | Power of Attorney executed by John F. Cogan, dated January 1, 2016 is incorporated by reference to Exhibit (j)(6) of PEA No. 86. |
(j)(7) | Power of Attorney executed by Stephen Timothy Kochis, dated January 1, 2016 is incorporated by reference to Exhibit (j)(7) of PEA No. 86. |
(j)(8) | Power of Attorney executed by David L. Mahoney, dated January 1, 2016 is incorporated by reference to Exhibit (j)(8) of PEA No. 86. |
(j)(9) | Power of Attorney executed by Kiran M. Patel, dated January 1, 2016 is incorporated by reference to Exhibit (j)(9) of PEA No 89. |
(j)(10) | Power of Attorney executed by Kimberly S. Patmore, dated January 1, 2016 is incorporated by reference to Exhibit (j)(10) of PEA No. 86. |
(j)(11) | Power of Attorney executed by Charles A. Ruffel, dated January 1, 2016 is incorporated by reference to Exhibit (j)(11) of PEA No. 86. |
ITEM 28. | EXHIBITS |
(j)(12) | Power of Attorney executed by Gerald B. Smith, dated January 1, 2016 is incorporated by reference to Exhibit (j)(12) of PEA No. 86. |
(j)(13) | Power of Attorney executed by Joseph H. Wender, dated January 1, 2016 is incorporated by reference to Exhibit (j)(13) of PEA No. 86. |
(j)(14) | Power of Attorney executed by Mark D. Fischer, dated January 1, 2016 is incorporated by reference to Exhibit (j)(14) of PEA No. 86. |
(k) | Not applicable. |
(l) | None. |
(m) | Not applicable. |
(n) | Not applicable. |
(o) | Not applicable. |
(p)(1) | Joint Code of Ethics for the Registrant and Charles Schwab Investment Management, Inc., dated September 21, 2016 is filed herein as Exhibit (p)(1). |
(p)(2) | Code of Ethics of SEI Investments Distribution Co., dated October 7, 2016 is filed herein as Exhibit (p)(2). |
Name and Position with Adviser | Name of Other Company | Capacity | ||
Walter W. Bettinger, II, Director | The Charles Schwab Corporation | Director, President and Chief Executive Officer | ||
Charles Schwab & Co., Inc. | Director, President and Chief Executive Officer | |||
Schwab Holdings, Inc. | Director | |||
Charles Schwab Bank | Director | |||
Peter B. Crawford, Director | The Charles Schwab Corporation | Executive Vice President – Finance | ||
Charles Schwab & Co. Inc. | Executive Vice President – Finance | |||
Schwab Holdings, Inc. | Director | |||
Marie Chandoha, Director, President and Chief Executive Officer | Schwab Funds | Trustee, President and Chief Executive Officer | ||
Laudus Funds | Trustee, President and Chief Executive Officer | |||
Schwab ETFs | Trustee, President and Chief Executive Officer | |||
Charles Schwab Worldwide Funds, plc | Director | |||
Charles Schwab Asset Management (Ireland) Limited | Director | |||
Omar Aguilar, Senior Vice President and Chief Investment Officer – Equities and Multi-Asset Strategies | Schwab Funds | Senior Vice President and Chief Investment Officer – Equities | ||
Laudus Funds | Senior Vice President and Chief Investment Officer – Equities | |||
Schwab ETFs | Senior Vice President and Chief Investment Officer – Equities | |||
Brett Wander, Senior Vice President and Chief Investment Officer – Fixed Income | Schwab Funds | Senior Vice President and Chief Investment Officer – Fixed Income | ||
Laudus Funds | Senior Vice President and Chief Investment Officer – Fixed Income | |||
Schwab ETFs | Senior Vice President and Chief Investment Officer – Fixed Income | |||
David Lekich, Chief Counsel and Senior Vice President | Charles Schwab & Co., Inc. | Senior Vice President and Associate General Counsel | ||
Schwab Funds | Secretary and Chief Legal Officer | |||
Laudus Funds | Vice President and Assistant Clerk | |||
Schwab ETFs | Secretary and Chief Legal Officer | |||
Michael Hogan, Chief Compliance Officer and Senior Vice President | Schwab Funds | Chief Compliance Officer | ||
Schwab ETFs | Chief Compliance Officer | |||
Laudus Funds | Chief Compliance Officer | |||
Charles Schwab & Co., Inc. | Senior Vice President |
Name and Position with Adviser | Name of Other Company | Capacity | ||
George Pereira, Senior Vice President, Chief Financial Officer and Chief Operating Officer | Schwab Funds | Senior Vice President and Chief Operating Officer | ||
Laudus Funds | Senior Vice President and Chief Operating Officer | |||
Schwab ETFs | Senior Vice President and Chief Operating Officer | |||
Charles Schwab Worldwide Funds, plc | Director | |||
Charles Schwab Asset Management (Ireland) Limited | Director |
Name | Position and Office with Underwriter | Positions and Offices with Registrant | ||
William M. Doran | Director | None | ||
Paul F. Klauder | Director | None | ||
Wayne M. Withrow | Director | None | ||
Kevin Barr | Director, President & Chief Executive Officer | None | ||
Maxine Chou | Chief Financial Officer, Chief Operations Officer, & Treasurer | None | ||
Karen LaTourette | Chief Compliance Officer, | None | ||
Anti-Money Laundering Officer & Assistant Secretary | ||||
John C. Munch | General Counsel & Secretary | None | ||
Mark J. Held | Senior Vice President | None | ||
Lori L. White | Vice President &Assistant Secretary | None | ||
John P. Coary | Vice President & Assistant Secretary | None | ||
Robert Silvestri | Vice President | None | ||
Judith A. Hirx | Vice President | None | ||
Jason McGhin | Vice President | None | ||
Gary Michael Reese | Vice President | None |
1) | Schwab Strategic Trust, 211 Main Street, San Francisco, CA 94105 |
2) | Charles Schwab Investment Management, Inc., 211 Main Street, San Francisco, CA 94105 |
3) | Principal Underwriter — SEI Investments Distribution Co., 1 Freedom Valley Drive, Oaks, PA 19456 |
4) | Custodian — State Street Bank and Trust Company, One Lincoln Street, Boston, MA 02111 |
5) | Transfer Agent — State Street Bank and Trust Company, One Lincoln Street, Boston, MA 02111 |
SCHWAB STRATEGIC TRUST |
Registrant |
Marie A. Chandoha* |
Marie A. Chandoha, President and Chief Executive Officer |
Signature | Title | |
Walter
W. Bettinger II* Walter W. Bettinger II |
Chairman and Trustee | |
Marie
A. Chandoha* Marie A. Chandoha |
Trustee, President and Chief Executive Officer | |
Joseph
R. Martinetto* Joseph R. Martinetto |
Trustee | |
Robert
W. Burns* Robert W. Burns |
Trustee | |
John
F. Cogan* John F. Cogan |
Trustee | |
Stephen
Timothy Kochis* Stephen Timothy Kochis |
Trustee | |
David
L. Mahoney* David L. Mahoney |
Trustee | |
Kiran
M. Patel* Kiran M. Patel |
Trustee | |
Kimberly
S. Patmore* Kimberly S. Patmore |
Trustee | |
Charles
A. Ruffel* Charles A. Ruffel |
Trustee | |
Gerald
B. Smith* Gerald B. Smith |
Trustee | |
Joseph
H. Wender* Joseph H. Wender |
Trustee |
Signature | Title | |
Mark
D. Fischer* Mark D. Fischer |
Treasurer and Chief Financial Officer |
*By: | /s/
Douglas P. Dick Douglas P. Dick, Attorney-in-Fact Pursuant to Power of Attorney |
Exhibit (d)(17) | Amendment to the Investment Advisory Agreement, dated October 7, 2016 |
Exhibit (h)(4)(g) | Amendment to Appendix A of the Master Fund Accounting and Services Agreement, dated January 20, 2016 |
Exhibit (h)(4)(h) | Amendment to Appendix A of the Master Fund Accounting and Services Agreement, dated August 18, 2016 |
Exhibit (i) | Opinion and Consent of Counsel |
Exhibit (j)(1) | Consent of Independent Registered Public Accounting Firm |
Exhibit (p)(1) | Joint Code of Ethics for the Registrant and Charles Schwab Investment Management, Inc., dated September 21, 2016 |
Exhibit (p)(2) | Code of Ethics of SEI Investments Distribution Co., dated May 1, 2016 |
This ‘485BPOS’ Filing | Date | Other Filings | ||
---|---|---|---|---|
1/1/19 | ||||
Effective on: | 12/29/16 | |||
Filed on: | 12/28/16 | |||
11/30/16 | 497, 497K | |||
10/7/16 | 497, 497K | |||
9/21/16 | ||||
8/31/16 | 24F-2NT, N-CSR, N-CSRS, NSAR-A, NSAR-B | |||
8/18/16 | ||||
6/27/16 | 485BPOS, 497K | |||
5/9/16 | 485BPOS, 497 | |||
5/2/16 | 497, 497K | |||
5/1/16 | ||||
3/1/16 | 40-17G/A, 497, 497K | |||
1/20/16 | ||||
1/12/16 | 40-17G, POS EX | |||
1/1/16 | ||||
12/31/15 | 24F-2NT, N-CSR, NSAR-B | |||
12/28/15 | 485BPOS, 497K | |||
11/17/15 | 497, 497K | |||
11/12/15 | 497, 497K | |||
9/1/15 | N-CSRS | |||
4/24/15 | 485BPOS, 497K | |||
3/4/15 | 497, 497K | |||
2/24/15 | 497 | |||
4/25/14 | 485BPOS, 497K | |||
4/18/14 | 497, 497K | |||
3/5/14 | 497, 497K | |||
12/26/13 | 485BPOS, 497K | |||
8/8/13 | 485BPOS, 497K | |||
7/8/13 | ||||
4/26/13 | 485BPOS, 497K, NSAR-A, NSAR-B | |||
3/11/13 | 497, 497K | |||
11/21/12 | 485APOS | |||
9/20/12 | 497, 497K | |||
8/17/12 | ||||
10/14/11 | 485BPOS, 497K | |||
10/1/11 | ||||
7/8/11 | 485BPOS, 497K | |||
7/1/11 | ||||
4/15/11 | 485APOS | |||
12/22/10 | ||||
12/17/10 | 485BPOS, 497K | |||
9/24/10 | 485APOS | |||
7/26/10 | 485BPOS, 497 | |||
7/23/10 | 485BPOS, 497, 497K, 8-A12B | |||
4/21/10 | 40-17G, 485APOS | |||
12/24/09 | ||||
10/27/09 | 8-A12B, CORRESP, N-1A/A | |||
10/12/09 | ||||
10/8/09 | N-1A/A | |||
10/7/09 | ||||
7/15/09 | N-1A, N-8A | |||
5/6/09 | ||||
1/27/09 | ||||
1/26/09 | ||||
9/7/08 | ||||
10/17/05 | ||||
10/1/05 | ||||
List all Filings |