0001752724-19-160908.txt : 20191113
0001752724-19-160908.hdr.sgml : 20191113
20191113134005
ACCESSION NUMBER: 0001752724-19-160908
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190831
FILED AS OF DATE: 20191113
DATE AS OF CHANGE: 20191113
EFFECTIVENESS DATE: 20191113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SCHWAB STRATEGIC TRUST
CENTRAL INDEX KEY: 0001454889
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-22311
FILM NUMBER: 191212962
BUSINESS ADDRESS:
STREET 1: 211 MAIN STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
BUSINESS PHONE: 1-415-667-7000
MAIL ADDRESS:
STREET 1: 211 MAIN STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
FORMER COMPANY:
FORMER CONFORMED NAME: Schwab Strategic Trust
DATE OF NAME CHANGE: 20090127
0001454889
S000026631
Schwab U.S. Broad Market ETF
C000079978
Schwab U.S. Broad Market ETF
SCHB
0001454889
S000026632
Schwab U.S. Large-Cap ETF
C000079979
Schwab U.S. Large-Cap ETF
SCHX
0001454889
S000026633
Schwab U.S. Large-Cap Growth ETF
C000079980
Schwab U.S. Large-Cap Growth ETF
SCHG
0001454889
S000026634
Schwab U.S. Large-Cap Value ETF
C000079981
Schwab U.S. Large-Cap Value ETF
SCHV
0001454889
S000026635
Schwab U.S. Mid-Cap ETF
C000079982
Schwab U.S. Mid-Cap ETF
SCHM
0001454889
S000026636
Schwab U.S. Small-Cap ETF
C000079983
Schwab U.S. Small-Cap ETF
SCHA
0001454889
S000026637
Schwab International Equity ETF
C000079984
Schwab International Equity ETF
SCHF
0001454889
S000026638
Schwab International Small-Cap Equity ETF
C000079985
Schwab International Small-Cap Equity ETF
SCHC
0001454889
S000026639
Schwab Emerging Markets Equity ETF
C000079986
Schwab Emerging Markets Equity ETF
SCHE
0001454889
S000034163
Schwab U.S. Dividend Equity ETF
C000105320
Schwab U.S. Dividend Equity ETF
SCHD
0001454889
S000059091
Schwab 1000 Index ETF
C000193734
Schwab 1000 Index ETF
SCHK
N-CEN
1
primary_doc.xml
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C000079980
S000026632
C000079979
S000059091
C000193734
S000026634
C000079981
S000026635
C000079982
S000026639
C000079986
SCHWAB STRATEGIC TRUST
811-22311
0001454889
549300NAZEQOIX80E226
211 MAIN STREET
SAN FRANCISCO
94105
US-CA
US
800-648-5300
Charles Schwab Investment Management, Inc.
211 Main Street
San Francisco
94105
800-648-5300
Investment Adviser and Fund Administrator Records
State Street Bank and Trust Company
One Lincoln Street
Boston
02111
617-786-3000
Transfer Agent, Custodian, and Fund Accountant Records
SEI Investments Distribution Co.
One Freedom Valley Drive
Oaks
19456
610-676-1000
Distributor and Underwriter Records
N
N
N-1A
22
Y
Kimberly S. Patmore
000000000
N
Walter W. Bettinger II
002915574
Y
David L. Mahoney
000000000
N
Joseph R. Martinetto
002996277
Y
John F. Cogan
000000000
N
Stephen Timothy Kochis
002293884
N
Robert W. Burns
000000000
N
Jonathan de St. Paer
004731700
Y
Jane P. Moncreiff
000000000
N
Gerald B. Smith
000500814
N
Kiran M. Patel
000000000
N
Nancy F. Heller
001813276
N
Michael Hogan
002986381
211 Main Street
San Francisco
94105
XXXXXX
N
N
N
N
N
N
SEI Investments Distribution Co.
008-27897
000010690
0000000000
N
N
PricewaterhouseCoopers LLP
238
5493002GVO7EO8RNNS37
N
N
N
N
N
N
Schwab International Small-Cap Equity ETF
S000026638
549300WKPJ36EQS9LQ80
N
1
0
0
Exchange-Traded Fund
N
N
0.25000000
0.14000000
0.00000000
0.00000000
N
N
Y
Y
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
Y
Revenue sharing split
Cash collateral reinvestment fee
61869970.20000000
3307722.95000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Hong Kong) Limited
X5AV1MBDXGRPX5UGMX13
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (London, GB, Branch)
0000000000
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Limited
54930045L3MXWBD27H71
CH
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch)
7LTWFZYICNSX8D621K86
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
21182.26000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
6655.77000000
Kepler Capital Markets, Inc.
8-67194
000139148
254900VCHS9DMDUVZN16
5377.92000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
24657.30000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
9857.90000000
SG Americas Securities, LLC
8-66125
000128351
549300F35UE0BOM1WJ55
7496.37000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
6477.01000000
Virtu Itg LLC
8-44218
000029299
549300S41SMIODVIT266
8850.81000000
CLSA Americas, LLC
8-69166
000165533
213800M2DXATWY7JMS07
8233.58000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
81156.98000000
189312.32000000
SG Americas Securities, LLC
8-66125
000128351
549300F35UE0BOM1WJ55
944016.16000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
890016.15000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
11301722.59000000
Banca IMI Securities Corp.
8-37444
000019418
V48XYRSNOB3HY0J4NK61
81330.23000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
2533682.29000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
160092224.40000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
6137452.54000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
534898.67000000
Deutsche Bank Securities Inc.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
407053.94000000
194263549.21000000
N
2153970359.94000000
Uncommitted
500000000.00000000
N
Committed
750000000.00000000
N
N
N
Schwab 1000 Index ETF
S000059091
549300ILTOKOUL3LZF18
N
1
0
0
Exchange-Traded Fund
Y
N
-0.02000000
-0.07000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Cash collateral reinvestment fee
Revenue sharing split
10813.15000000
326.47000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
727.11000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
497.59000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
1567.69000000
Penserra Securities LLC
8-67773
000145994
549300WY8ZBI168Y6Z05
392.32000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
1675.61000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
1591.44000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
977.06000000
Guzman & Company
8-38646
000021013
549300E7R8O8EHE8SN83
331.71000000
BTIG, LLC
8-65473
000122225
549300GTG9PL6WO3EC51
376.78000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
294.18000000
10469.11000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
307405.28000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
89956.24000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
493620.19000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
1554359.73000000
2524541.44000000
N
696225491.41000000
Committed
750000000.00000000
N
Uncommitted
500000000.00000000
N
N
N
Schwab U.S. Small-Cap ETF
S000026636
5493003UKSEZNILT8D61
N
1
0
0
Exchange-Traded Fund
N
N
0.06000000
0.02000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Cash collateral reinvestment fee
Revenue sharing split
92503855.27000000
4626546.98000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
23049.99000000
Susquehanna Financial Group, LLLP
08-44325
000035865
549300E8QX0ZMRDC2M81
14209.63000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
20698.63000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
45329.06000000
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
17689.59000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
18848.53000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
114806.39000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
35050.53000000
Maxim Group LLC
8-65337
000120708
254900OJ6JZO6SDMHQ83
19771.69000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
18968.44000000
424756.53000000
Maxim Group LLC
8-65337
000120708
254900OJ6JZO6SDMHQ83
11320.78000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
24055856.44000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
4515993.56000000
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
59658.57000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
36946020.54000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
342892.68000000
65931742.57000000
N
7986014864.16000000
Committed
750000000.00000000
N
Uncommitted
500000000.00000000
N
N
N
Schwab International Equity ETF
S000026637
5493003PP4X6ZGIBL520
N
1
0
0
Exchange-Traded Fund
N
N
0.22000000
0.16000000
0.00000000
0.00000000
N
N
Y
Y
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
Y
Cash collateral reinvestment fee
Revenue sharing split
42902231.74000000
2771254.74000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
N
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank International GmbH
ZMHGNT7ZPKZ3UFZ8EO46
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Societa per Azioni
529900SS7ZWCX82U3W60
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch)
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Skandinaviska Enskilda Banken A/S
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Hong Kong) Limited
X5AV1MBDXGRPX5UGMX13
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Limited
54930045L3MXWBD27H71
CH
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch)
7LTWFZYICNSX8D621K86
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (London, GB, Branch)
0000000000
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
SG Americas Securities, LLC
8-66125
000128351
549300F35UE0BOM1WJ55
79599.56000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
123052.63000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
148169.52000000
CLSA Americas, LLC
8-69166
000165533
213800M2DXATWY7JMS07
86182.54000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
47954.57000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
115370.74000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
25694.63000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
70449.10000000
Virtu Itg LLC
8-44218
000029299
549300S41SMIODVIT266
25337.98000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
45386.55000000
804706.00000000
SG Americas Securities, LLC
8-66125
000128351
549300F35UE0BOM1WJ55
17832523.54000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
1826781.19000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
203809327.24000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
36184410.91000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
5193611.34000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
2984132.85000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
40386867.64000000
344083175.91000000
N
16827772352.10000000
Uncommitted
500000000.00000000
N
Committed
750000000.00000000
N
N
N
Schwab U.S. Large-Cap ETF
S000026632
549300D3593FFQX1M411
N
1
0
0
Exchange-Traded Fund
N
N
0.02000000
-0.01000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
Cash collateral reinvestment fee
12260755.24000000
2171033.19000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 17a-7 (17 CFR 270.17a-7)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
5720.83000000
Loop Capital Markets LLC
8-50140
000043098
254900FPPM2WN90D4786
5102.87000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
6936.10000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
6449.83000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
5650.56000000
Guzman & Company
8-38646
000021013
549300E7R8O8EHE8SN83
8767.70000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
12714.56000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
7621.60000000
BTIG, LLC
8-65473
000122225
549300GTG9PL6WO3EC51
6630.59000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
12762.10000000
120577.41000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
40648476.70000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
1018225.04000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
10700685.12000000
54109786.86000000
N
15565925508.23000000
Uncommitted
500000000.00000000
N
Committed
750000000.00000000
N
N
N
Schwab U.S. Large-Cap Growth ETF
S000026633
549300X647G1Z3XCRR98
N
1
0
0
Exchange-Traded Fund
N
N
0.04000000
-0.01000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
Cash collateral reinvestment fee
8135388.94000000
1623194.01000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 17a-7 (17 CFR 270.17a-7)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
2584.22000000
Virtu Itg LLC
8-44218
000029299
549300S41SMIODVIT266
9476.08000000
Guzman & Company
8-38646
000021013
549300E7R8O8EHE8SN83
1844.81000000
Maxim Group LLC
8-65337
000120708
254900OJ6JZO6SDMHQ83
3635.90000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
1918.10000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
3253.86000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
30440.41000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
8762.45000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
3347.55000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
7398.25000000
84934.25000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
1233967.34000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
862946.51000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
46455623.28000000
48552537.13000000
N
7085845466.08000000
Uncommitted
500000000.00000000
N
Committed
750000000.00000000
N
N
N
Schwab U.S. Large-Cap Value ETF
S000026634
549300FRX8JVCKQ08Y53
N
1
0
0
Exchange-Traded Fund
N
N
-0.01000000
-0.05000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
Cash collateral reinvestment fee
5190269.68000000
161274.23000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 17a-7 (17 CFR 270.17a-7)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
7223.70000000
Guzman & Company
8-38646
000021013
549300E7R8O8EHE8SN83
5386.22000000
Loop Capital Markets LLC
8-50140
000043098
254900FPPM2WN90D4786
4338.70000000
RBC Capital Markets, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
3792.83000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
14453.38000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
3670.93000000
Maxim Group LLC
8-65337
000120708
254900OJ6JZO6SDMHQ83
5895.65000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
3846.90000000
Stuart Frankel & Co., Incorporated
8-17419
000014593
254900XE1RBF5OLE0T50
6464.92000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
4450.31000000
89446.60000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
15687316.40000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
7741237.61000000
24035754.01000000
N
5379128320.57000000
Uncommitted
500000000.00000000
N
Committed
750000000.00000000
N
N
N
Schwab Emerging Markets Equity ETF
S000026639
549300BX5O2DW26SGM55
N
1
0
0
Exchange-Traded Fund
N
N
0.15000000
0.02000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Cash collateral reinvestment fee
Revenue sharing split
19916632.47000000
953562.38000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)
7LTWFZYICNSX8D621K86
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, Anonim Sirketi
CWZ8NZDH5SKY12Q4US31
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Hong Kong) Limited
X5AV1MBDXGRPX5UGMX13
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited
549300F99IL9YJDWH369
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch)
F3JS33DEI6XQ4ZBPTN86
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch)
7LTWFZYICNSX8D621K86
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited (Kuwait City, Al Asimah, KW, Branch)
549300F99IL9YJDWH369
KW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Itau CorpBanca
549300DDPTTIZ06NIV06
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank del Peru S.A.
MYTK5NHHP1G8TVFGT193
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Taipei City, TW, Branch)
25490016G0WR60ANOK04
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UBS Switzerland AG
549300WOIFUSNYH0FL22
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Ceskoslovenska obchodni banka, a. s.
Q5BP2UEQ48R75BOTCB92
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Joint Stock Company Commercial Bank Citibank
CHSQDSVI1UI96Y2SW097
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch)
549300F99IL9YJDWH369
QA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Cairo, Cairo, EG, Branch)
E57ODZWZ7FF32TWEFA76
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (London, GB, Branch)
0000000000
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
QFC8ZCW3Q5PRXU1XTM60
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Hapoalim B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch)
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Maghreb S.A
5493003FVWLMBFTISI11
MA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Saudi Arabia Limited
558600MV09XWUB38H245
SA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Limited
54930045L3MXWBD27H71
CH
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank Malaysia Berhad
549300JTJBG2QBI8KD48
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
27189.30000000
Scotia Capital (USA) Inc.
8-3716
000002739
549300BLWPABP1VNME36
33408.95000000
SG Americas Securities, LLC
8-66125
000128351
549300F35UE0BOM1WJ55
1969.35000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
138768.42000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
457960.62000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
16542.32000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
619330.56000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
14126.00000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
38889.71000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
5583.09000000
1357524.73000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
4.26000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
149756980.67000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
3319314.04000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
3401795.18000000
Scotia Capital (USA) Inc.
8-3716
000002739
549300BLWPABP1VNME36
14405151.28000000
173812379.52000000
N
5388134400.32000000
Uncommitted
500000000.00000000
N
Committed
750000000.00000000
N
N
N
Schwab U.S. Broad Market ETF
S000026631
549300Z43HSC4Q4CI525
N
1
0
0
Exchange-Traded Fund
N
N
0.03000000
0.00000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
Cash collateral reinvestment fee
25221927.12000000
2517812.42000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 17a-7 (17 CFR 270.17a-7)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
State Street Trust Company Canada
549300L71XG2CTQ2V827
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
14152.57000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
10680.80000000
Guzman & Company
8-38646
000021013
549300E7R8O8EHE8SN83
6962.59000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
32860.10000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
16699.40000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
32005.70000000
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
12212.74000000
BTIG, LLC
8-65473
000122225
549300GTG9PL6WO3EC51
7613.38000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
11454.37000000
Maxim Group LLC
8-65337
000120708
254900OJ6JZO6SDMHQ83
8300.35000000
213036.78000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
30413117.90000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
879731.79000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
5193121.18000000
Virtu Americas LLC
8-68193
000149823
549300RA02N3BNSWBV74
50843.12000000
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
8038.05000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
6996548.73000000
45116600.77000000
N
13923724115.43000000
Uncommitted
500000000.00000000
N
Committed
750000000.00000000
N
N
N
Schwab U.S. Mid-Cap ETF
S000026635
549300CX4Y7E1N0YFZ10
N
1
0
0
Exchange-Traded Fund
N
N
0.00000000
-0.04000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Cash collateral reinvestment fee
Revenue sharing split
18050288.69000000
798704.42000000
Rule 32a-4 (17 CFR 270.32a-4)
Rule 17a-7 (17 CFR 270.17a-7)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
5881.46000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
114456.89000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
7307.60000000
Maxim Group LLC
8-65337
000120708
254900OJ6JZO6SDMHQ83
18529.42000000
Susquehanna Financial Group, LLLP
08-44325
000035865
549300E8QX0ZMRDC2M81
6141.78000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
12761.07000000
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
6823.33000000
Penserra Securities LLC
8-67773
000145994
549300WY8ZBI168Y6Z05
5788.61000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
11884.84000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
5655.13000000
236757.67000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
7368762.70000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
18940723.40000000
BofA Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
24408097.74000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
18414191.02000000
69131774.86000000
N
5643777465.75000000
Committed
750000000.00000000
N
Uncommitted
500000000.00000000
N
N
N
Schwab U.S. Dividend Equity ETF
S000034163
549300MUIMRQQDWJ5226
N
1
0
0
Exchange-Traded Fund
N
N
-0.02000000
-0.09000000
0.00000000
0.00000000
N
N
Y
N
N
Goldman Sachs Bank USA
KD3XUN7C6T14HNAYLU02
N
N
Revenue sharing split
Cash collateral reinvestment fee
1661780.31000000
31520.89000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Charles Schwab Investment Management, Inc.
801-35905
000106753
EVQ6EP3QESDF386W4D54
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
N
Euroclear Limited
54930045L3MXWBD27H71
CH
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
Charles Schwab Investment Management, Inc.
EVQ6EP3QESDF386W4D54
Y
N
N
Charles Schwab Europe Limited
N/A
000000000
549300N3L67TREKCRK89
IE
0.00000000
Charles Schwab Singapore Pte. Ltd.
N/A
000000000
00000000000000000000
SG
0.00000000
Charles Schwab, Hong Kong, Ltd.
N/A
000000000
00000000000000000000
HK
0.00000000
Charles Schwab, U.K., Limited
N/A
000000000
549300PF2KTM8A12FH91
GB
0.00000000
Charles Schwab Australia Pty Limited
N/A
000000000
00000000000000000000
AU
0.00000000
Charles Schwab & Co., Inc.
8-16514
000005393
549300ZP8XN77GK5BS04
0.00000000
Maxim Group LLC
8-65337
000120708
254900OJ6JZO6SDMHQ83
13484.95000000
Loop Capital Markets LLC
8-50140
000043098
254900FPPM2WN90D4786
5659.96000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
9754.95000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
62473.71000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
8591.90000000
Susquehanna Financial Group, LLLP
08-44325
000035865
549300E8QX0ZMRDC2M81
5051.57000000
Barclays Capital Inc.
8-41342
000019714
AC28XWWI3WIBK2824319
17491.28000000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
8-7221
000007691
8NAV47T0Y26Q87Y0QP81
152299.65000000
Wells Fargo Securities, LLC
8-65876
000126292
VYVVCKR63DVZZN70PB21
27082.35000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
18855.53000000
359767.58000000
0.00000000
N
8753411529.93000000
Uncommitted
500000000.00000000
N
Committed
750000000.00000000
N
N
N
Schwab Emerging Markets Equity ETF
S000026639
N
100000.00000000
69.53066666
1.77625319
30.46933333
1.77625319
4.72000000
0.00000000
95.28000000
0.00000000
0.00000000
6000.00000000
0.00000000
0.00000000
6000.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
Schwab U.S. Mid-Cap ETF
S000026635
N
50000.00000000
1.01794736
1.06172241
98.98205263
1.06172241
1.32025641
2.38427688
98.67974358
2.38427688
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
Schwab International Small-Cap Equity ETF
S000026638
Y
100000.00000000
7.63352941
0.81361800
92.36647058
0.81361800
8.66000000
0.97238538
91.34000000
0.97238538
0.00000000
10000.00000000
0.00000000
0.00000000
10000.00000000
0.00000000
0.00000000
10000.00000000
0.00000000
0.00000000
10000.00000000
0.00000000
N
Schwab U.S. Broad Market ETF
S000026631
N
50000.00000000
2.29000000
0.11104249
97.71000000
0.11104249
2.33128205
0.16545000
97.66871794
0.16545000
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
N
Schwab U.S. Small-Cap ETF
S000026636
N
50000.00000000
1.35569444
0.89388033
98.64430555
0.89388033
1.21387096
6.05118648
98.78612903
6.05118648
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
0.00000000
1500.00000000
0.00000000
N
Schwab International Equity ETF
S000026637
N
100000.00000000
8.07159090
1.22562740
91.92840909
1.22562740
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
10000.00000000
0.00000000
0.00000000
10000.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
N
Schwab U.S. Large-Cap Growth ETF
S000026633
N
50000.00000000
0.93379562
0.13158609
99.06620437
0.13158609
0.97000000
0.24686178
99.03000000
0.24686178
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
Schwab 1000 Index ETF
S000059091
N
50000.00000000
3.36706896
0.17303289
96.63293103
0.17303289
3.42823529
0.18416145
96.57176470
0.18416145
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
Schwab U.S. Large-Cap ETF
S000026632
N
50000.00000000
1.40160493
0.10697327
98.59839506
0.10697327
1.50064516
0.70072063
98.49935483
0.70072063
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
Schwab U.S. Large-Cap Value ETF
S000026634
N
50000.00000000
0.64333333
0.12454187
99.35666666
0.12454187
0.98483870
1.90617395
99.01516129
1.90617395
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
0.00000000
500.00000000
0.00000000
N
Schwab U.S. Dividend Equity ETF
S000034163
Y
50000.00000000
0.56475083
1.62064586
99.43524916
1.62064586
1.14137931
3.03051707
98.85862068
3.03051707
0.00000000
250.00000000
0.00000000
0.00000000
250.00000000
0.00000000
0.00000000
250.00000000
0.00000000
0.00000000
250.00000000
0.00000000
N
true
INTERNAL CONTROL RPT
2
NCEN_14056238268244704.txt
Report of Independent Registered Public
Accounting Firm
To the Board of Trustees of Schwab Strategic Trust and
Shareholders of Schwab U.S. Broad Market ETF, Schwab
1000 Index ETF, Schwab U.S. Large-Cap ETF, Schwab
U.S. Large-Cap Growth ETF, Schwab U.S. Large-Cap
Value ETF, Schwab U.S. Mid-Cap ETF, Schwab U.S.
Small-Cap ETF, Schwab U.S. Dividend Equity ETF,
Schwab International Equity ETF, Schwab International
Small-Cap Equity ETF and Schwab Emerging Markets
Equity ETF.
In planning and performing our audit of the financial
statements of Schwab U.S. Broad Market ETF, Schwab
1000 Index ETF, Schwab U.S. Large-Cap ETF, Schwab
U.S. Large-Cap Growth ETF, Schwab U.S. Large-Cap
Value ETF, Schwab U.S. Mid-Cap ETF, Schwab U.S.
Small-Cap ETF, Schwab U.S. Dividend Equity ETF,
Schwab International Equity ETF, Schwab International
Small-Cap Equity ETF and Schwab Emerging Markets
Equity ETF (eleven of the funds constituting Schwab
Strategic Trust, hereafter referred to as the "Funds") as of
and for the year ended August 31, 2019, in accordance
with the standards of the Public Company Accounting
Oversight Board (United States) ("PCAOB"), we
considered the Funds' internal control over financial
reporting, including controls over safeguarding
securities, as a basis for designing our auditing
procedures for the purpose of expressing our opinion on
the financial statements and to comply with the
requirements of Form N-CEN, but not for the purpose of
expressing an opinion on the effectiveness of the Funds'
internal control over financial reporting. Accordingly, we
do not express an opinion on the effectiveness of the
Funds' internal control over financial reporting.
The management of the Funds is responsible for
establishing and maintaining effective internal control
over financial reporting. In fulfilling this responsibility,
estimates and judgments by management are required to
assess the expected benefits and related costs of controls.
A company's internal control over financial reporting is a
process designed to provide reasonable assurance
regarding the reliability of financial reporting and the
preparation of financial statements for external purposes
in accordance with generally accepted accounting
principles. A company's internal control over financial
reporting includes those policies and procedures that (1)
pertain to the maintenance of records that, in reasonable
detail, accurately and fairly reflect the transactions and
dispositions of the assets of the company; (2) provide
reasonable assurance that transactions are recorded as
necessary to permit preparation of financial statements
in accordance with generally accepted accounting
principles, and that receipts and expenditures of the
company are being made only in accordance with
authorizations of management and directors of the
company; and (3) provide reasonable assurance
regarding prevention or timely detection of unauthorized
acquisition, use or disposition of a company's assets that
could have a material effect on the financial statements.
Because of its inherent limitations, internal control over
financial reporting may not prevent or detect
misstatements. Also, projections of any evaluation of
effectiveness to future periods are subject to the risk that
controls may become inadequate because of changes in
conditions, or that the degree of compliance with the
policies or procedures may deteriorate.
A deficiency in internal control over financial reporting
exists when the design or operation of a control does not
allow management or employees, in the normal course of
performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a
deficiency, or a combination of deficiencies, in internal
control over financial reporting, such that there is a
reasonable possibility that a material misstatement of the
company's annual or interim financial statements will
not be prevented or detected on a timely basis.
Our consideration of the Funds' internal control over
financial reporting was for the limited purpose described
in the first paragraph and would not necessarily disclose
all deficiencies in internal control over financial reporting
that might be material weaknesses under standards
established by the PCAOB. However, we noted no
deficiencies in the Funds' internal control over financial
reporting and its operation, including controls over
safeguarding securities that we consider to be material
weaknesses as defined above as of August 31, 2019.
This report is intended solely for the information and use
of the Board of Trustees of Schwab Strategic Trust and
the Securities and Exchange Commission and is not
intended to be and should not be used by anyone other
than these specified parties.
/s/PricewaterhouseCoopers LLP
San Francisco, California
October 17, 2019