Charles Schwab 2015 Annual Report Download - page 127
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THE CHARLES SCHWAB CORPORATION
- 107 -
(b) Exhibits
The exhibits listed below are filed as part of this annual report on Form 10-K.
Exhibit
Number
Exhibit
2.1 Agreement and Plan of Merger, dated March 18, 2011, by and among The Charles Schwab
Corporation, Neon Acquisition Corp. and optionsXpress Holdings, Inc., filed as Exhibit 2.1 to the
Registrant’s Form 8-K dated March 18, 2011, and incorporated herein by reference.
3.11 Fifth Restated Certificate of Incorporation, effective May 7, 2001, of the Registrant, filed as
Exhibit 3.11 to the Registrant’s Form 10-Q for the quarter ended September 30, 2011, and incorporated
herein by reference.
3.14 Fourth Restated Bylaws, as amended on January 27, 2010, of the Registrant, filed as Exhibit 3.1 to the
Registrant’s Form 8-K dated January 27, 2010, and incorporated herein by reference.
3.15 Certificate of Designations of Fixed to Floating Rate Non-Cumulative Perpetual Preferred Stock,
Series A of The Charles Schwab Corporation filed as Exhibit 3.15 to the Registrant’s Form 8-K dated
January 24, 2012, and incorporated herein by reference.
3.16 Certificate of Designations of 6.00% Non-Cumulative Perpetual Preferred Stock, Series B, of the
Charles Schwab Corporation filed as Exhibit 3.1 to the Registrant’s Form 8-K dated May 31, 2012, and
incorporated herein by reference.
3.17 Certificate of Designations of 6.00% Non-Cumulative Perpetual Preferred Stock, Series C, of The
Charles Schwab Corporation filed as Exhibit 3.1 to the Registrant’s Form 8-K dated August 3, 2015
and incorporated herein by reference.
4.1 Deposit Agreement, dated June 6, 2012, between the Company and Wells Fargo Bank, N.A., as
Depositary (including the form of Depositary Share Receipt attached as Exhibit A thereto), filed as
Exhibit 4.1 to the Registrant’s Form 8-K dated May 31, 2012, and incorporated herein by reference.