0001752724-22-132617.txt : 20220610 0001752724-22-132617.hdr.sgml : 20220610 20220610101754 ACCESSION NUMBER: 0001752724-22-132617 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220610 DATE AS OF CHANGE: 20220610 EFFECTIVENESS DATE: 20220610 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: 221007905 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 S000072244 Schwab Ariel ESG ETF C000228159 Schwab Ariel ESG ETF SAEF N-CEN 1 primary_doc.xml X0404 N-CEN LIVE 0001454889 XXXXXXXX 811-22311 false false false N-1A S000072244 C000228159 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 Manager and Fund Administrator Ariel Investments, LLC 200 East Randolph Street Suite 2900 Chicago 60601 800-292-7435 Sub-Adviser State Street Bank and Trust Company One Lincoln Street Boston 02111 617-786-3000 Custodian, Transfer Agent and Fund Accountant Schwab Strategic Trust 211 Main Street San Francisco 94105 800-648-5300 Trust and Fund Records SEI Investments Distribution Co. 1 Freedom Valley Drive Oaks 19456 610-676-1000 Principal Underwriter Y N N-1A 27 Y Nancy F. Heller 001813276 N Walter W. Bettinger II 002915574 Y David L. Mahoney N/A N Joseph R. Martinetto 002996277 Y Kimberly S. Patmore N/A N Jean Derek Penn 001310915 N Kiran M. Patel N/A N Jane P. Moncreiff N/A N Robert W. Burns N/A N Michael Hogan 002986381 One International Place Boston 02110 XXXXXX N N N N N N SEI Investments Distribution Co. 8-27897 000010690 0000000000 N Y Deloitte & Touche LLP 34 00000000000000000000 N N N N N N N Schwab Ariel ESG ETF S000072244 54930094NCCVIUH3GM08 Y 1 1 0 Exchange-Traded Fund N N Y N N/A N/A N/A Rule 6c-11 (17 CFR 270.6c-11) Rule 32a-4 (17 CFR 270.32a-4) N N N N Charles Schwab Investment Management, Inc. 801-35905 000106753 EVQ6EP3QESDF386W4D54 2021-12-31 Ariel Investments, LLC 801-18767 000108211 5493007TOVD6LN5SJS12 N State Street Bank and Trust Company 85-05003 571474TGEMMWANRLN572 N N Y ICE Data Services, Inc. 13-3668779 Tax ID N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N Refinitiv US Holdings Inc. 549300NF240HXJO7N016 N Bloomberg L.P. 549300B56MD0ZC402L06 N Y State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Y State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Y Charles Schwab Investment Management, Inc. EVQ6EP3QESDF386W4D54 Y N Y Charles Schwab, Hong Kong, Ltd. N/A N/A 00000000000000000000 HK 0.00000000 TD Ameritrade Hong Kong Limited N/A N/A 00000000000000000000 HK 0.00000000 Charles Schwab, U.K., Limited N/A N/A 549300PF2KTM8A12FH91 GB 0.00000000 Charles Schwab & Co., Inc. 8-16514 000005393 549300ZP8XN77GK5BS04 0.00000000 TD Ameritrade Clearing, Inc. 8-16335 000005633 MRK678VXOI09YSSN8X19 0.00000000 TD Ameritrade Singapore Pte. Ltd. N/A N/A 00000000000000000000 SG 0.00000000 TD Ameritrade, Inc. 8-23395 000007870 CWQYQU0TV2NLMLZKNB44 0.00000000 UBS Securities LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 35.04000000 Loop Capital Markets LLC 8-50140 000043098 254900FPPM2WN90D4786 777.10000000 William Blair & Company, L.L.C. 8-2698 000001252 549300J0P7XYE8BMZ775 60.77000000 Stephens Inc. 8-1927 000003496 213800LH6T9XDYZCA534 132.56000000 Cabrera Capital Markets LLC 8-26406 000010081 254900BIRJU76JRBK985 195.18000000 BofA Securities, Inc. 8-69787 000283942 549300HN4UKV1E2R3U73 77.07000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 51.64000000 Piper Sandler & Co. 8-15204 000000665 549300GRQCWQ3XGH0H10 111.72000000 CastleOak Securities, L.P. 8-65786 000125334 549300MXL7C60HZ59S65 418.50000000 Robert W. Baird & Co. Incorporated 8-497 000008158 549300772UJAHRD6LO53 810.70000000 2753.12000000 0.00000000 N 8451654.20400000 Committed 850000000.00000000 N Uncommitted 400000000.00000000 N N N Schwab Ariel ESG ETF S000072244 N 5000.00000000 6.26090909 1.14304580 93.73909090 1.14304580 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 100.00000000 0.00000000 0.00000000 100.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 N true INTERNAL CONTROL RPT 2 NCEN_811-22311_84093606_0322.htm ncenschwabstrategictru.htm - Generated by SEC Publisher for SEC Filing

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

 

To the Board of Trustees of the Schwab Strategic Trust and Shareholders of Schwab Ariel ESG ETF:

 

In planning and performing our audit of the financial statements of Schwab Ariel ESG ETF (the "Fund") as of March 31, 2022 and for the period from November 16, 2021 (commencement of operations) through March 31, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund's 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 Fund's internal control over financial reporting. Accordingly, we express no such opinion.

 

The management of the Fund 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 fund'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 fund'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 fund; (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 fund are being made only in accordance with authorizations of management and directors of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a fund'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 fund's annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Fund's 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 that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls for safeguarding securities, that we consider to be a material weakness, as defined above, as of March 31, 2022.

This report is intended solely for the information and use of management and 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/ Deloitte & Touche LLP

Denver, Colorado

May 17, 2022