Charles Schwab 2013 Annual Report Download - page 112

THE CHARLES SCHWAB CORPORATION
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Exhibit
Number Exhibit
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.
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.
4.2 Neither the Registrant nor its subsidiaries are parties to any instrument with respect to long-term debt
for which securities authorized thereunder exceed 10% of the total assets of the Registrant and its
subsidiaries on a consolidated basis. Copies of instruments with respect to long-term debt of lesser
amounts will be provided to the SEC upon request.
10.4 Form of Release Agreement dated as of March 31, 1987 among BAC, Registrant, Schwab Holdings,
Inc., Charles Schwab & Co., Inc. and former shareholders of Schwab Holdings, Inc., filed as the
identically-numbered exhibit to Registrant’s Registration Statement No. 33-16192 on Form S-1 and
incorporated herein by reference.
10.57 Registration Rights and Stock Restriction Agreement, dated as of March 31, 1987, between the
Registrant and the holders of the Common Stock, filed as Exhibit 4.23 to Registrant’s Registration
Statement No. 33-16192 on Form S-1 and incorporated herein by reference.
10.72 Restatement of Assignment and License, as amended January 25, 1988, among Charles Schwab & Co.,
Inc., Charles R. Schwab and the Registrant, filed as Exhibit 10.72 to the Registrant’s Form 10-K for the
year ended December 31, 2009, and incorporated herein by reference.
10.271 The Charles Schwab Corporation Directors’ Deferred Compensation Plan, as amended through
December 8, 2004, filed as Exhibit 10.271 to the Registrant’s Form 10-K for the year ended
December 31, 2009, and incorporated herein by reference.
10.272 The Charles Schwab Corporation Deferred Compensation Plan, as amended through December 8,
2004, filed as Exhibit 10.272 to the Registrant’s Form 10-K for the year ended December 31, 2009, and
incorporated herein by reference.
(2)
10.295 Form of Notice and Nonqualified Stock Option Agreement for Joseph R. Martinetto under The Charles
Schwab Corporation 2004 Stock Incentive Plan dated May 18, 2007, filed as Exhibit 10.295 to the
Registrant’s Form 10-Q for the quarter ended June 30, 2012, and incorporated herein by reference.
(2)
10.298 Directed Employee Benefit Trust Agreement under the SchwabPlan Retirement Savings and
Investment Plan dated August 17, 2007, filed as Exhibit 10.298 to the Registrant’s Form 10-Q for the
quarter ended September 30, 2012, and incorporated herein by reference.
(2)
10.302 The Charles Schwab Corporation 2001 Stock Incentive Plan, as amended and restated as of
December 12, 2007, filed as Exhibit 10.302 to the Registrant’s Form 10-K for the year ended
December 31, 2012, and incorporated herein by reference.
(2)