0001145549-16-014956.txt : 20160607 0001145549-16-014956.hdr.sgml : 20160607 20160607162055 ACCESSION NUMBER: 0001145549-16-014956 CONFORMED SUBMISSION TYPE: N-MFP1 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160531 FILED AS OF DATE: 20160607 DATE AS OF CHANGE: 20160607 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CHARLES SCHWAB FAMILY OF FUNDS CENTRAL INDEX KEY: 0000857156 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-MFP1 SEC ACT: 1940 Act SEC FILE NUMBER: 811-05954 FILM NUMBER: 161701497 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 CHARLES FAMILY OF FUNDS DATE OF NAME CHANGE: 19920703 0000857156 S000004509 Schwab Retirement Advantage Money Fund C000012386 Schwab Retirement Advantage Money Fund SWIXX N-MFP1 1 primary_doc.xml N-MFP1 0000857156 XXXXXXXX 2016-05-31 0000857156 S000004509 1 N N 033-31894 Charles Schwab Investment Management, Inc. 801-35905 PricewaterhouseCoopers LLP San Francisco CA Charles Schwab Investment Management, Inc. 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0.960000% 8NAV47T0Y26Q87Y0QP81 0000065100 921ACQ004_0.96_0803 Other Repurchase Agreement, if any collateral falls outside Treasury, Government Agency and cash N N CIT MTG LN TR 2007-1 1-M1 20371025 FLT 2037-10-25 1.938800 8436020.00 6900000.32 Asset-Backed Securities First Tier Security N/A N/A 2016-07-05 2016-07-05 2016-08-03 Y MERRILL LYNCH PIERCE FENNER & SMITH INC N/A N/A 1.0000 35 N N N 0.0096 6000365.40 6000365.40 6000365.40 0.0097 N N N Y COMMONWEALTH BANK OF AUSTRALIA (LONDON BRANCH) COMMONWEALTH BANK OF AUSTRALIA (LONDON BRANCH) 0.700000% 0000008565 928CYG001 Certificate of Deposit First Tier Security N/A N/A 2016-08-04 2016-08-04 2016-08-04 N N N 0.0041 4002108.04 4002108.04 4002108.04 0.0065 N N N N COMMONWEALTH BANK OF AUSTRALIA (LONDON BRANCH) COMMONWEALTH BANK OF AUSTRALIA (LONDON BRANCH) 0.630000% 0000008565 928EDG000 Certificate of Deposit First Tier Security N/A N/A 2016-06-23 2016-06-23 2016-06-23 N N N 0.0023 8002056.08 8002056.08 8002056.08 0.0130 N N N N BNP 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2028-09-25 6.788800 1561.00 1680.16 Private Label Collateralized Mortgage Obligations First Tier Security N/A N/A 2016-06-01 2016-06-01 2016-06-01 N N N 0.0048 2000000.00 2000000.00 2000000.00 0.0032 N Y Y N HSBC BANK PLC HSBC Bank PLC 0.850000% MP6I5ZYZBEU3UXPYFY54 0001050258 928QAE001 Certificate of Deposit First Tier Security N/A N/A 2016-07-19 2016-07-19 2016-07-19 N N N 0.0046 6003179.46 6003179.46 6003179.46 0.0097 N N N N CREDIT AGRICOLE SA (LONDON BRANCH) CREDIT AGRICOLE SA (LONDON BRANCH) 0.630000% 0001330437 928WRK006 Certificate of Deposit First Tier Security N/A N/A 2016-07-01 2016-07-01 2016-07-01 N N N 0.0042 3000549.93 3000549.93 3000549.93 0.0049 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.699700% 94988EL97 KB1H1DSPRFMYMCUFXT09 0000827124 Certificate of Deposit First Tier Security N/A N/A 2016-06-27 2016-07-27 2016-07-27 N N N 0.0049 3000999.03 3000999.03 3000999.03 0.0049 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.787300% 94988ENH7 KB1H1DSPRFMYMCUFXT09 0000827124 Certificate of Deposit First Tier Security N/A N/A 2016-06-13 2016-07-12 2016-07-12 N N N 0.0045 4001620.04 4001620.04 4001620.04 0.0065 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.850000% 94988EPN2 KB1H1DSPRFMYMCUFXT09 0000827124 Certificate of Deposit First Tier Security N/A N/A 2016-07-21 2016-07-21 2016-07-21 N N N 0.0060 4001382.44 4001382.44 4001382.44 0.0065 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.830000% 94988EQ76 KB1H1DSPRFMYMCUFXT09 0000827124 Certificate of Deposit First Tier Security N/A N/A 2016-08-02 2016-08-02 2016-08-02 N N N 0.0063 2000689.62 2000689.62 2000689.62 0.0032 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.810000% 94988EQR2 KB1H1DSPRFMYMCUFXT09 0000827124 Certificate of Deposit First Tier Security N/A N/A 2016-08-16 2016-08-16 2016-08-16 N N N 0.0066 4001276.04 4001276.04 4001276.04 0.0065 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.860000% 94988ESD1 KB1H1DSPRFMYMCUFXT09 0000827124 Certificate of Deposit First Tier Security N/A N/A 2016-09-08 2016-09-08 2016-09-08 N N N 0.0070 4001703.24 4001703.24 4001703.24 0.0065 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.860000% 94988ESU3 KB1H1DSPRFMYMCUFXT09 0000827124 Certificate of Deposit First Tier Security N/A N/A 2016-09-28 2016-09-28 2016-09-28 N N N 0.0074 3001135.83 3001135.83 3001135.83 0.0049 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.825900% 94988EUY2 KB1H1DSPRFMYMCUFXT09 0000827124 Certificate of Deposit First Tier Security N/A N/A 2016-06-06 2016-12-06 2016-12-06 N N N 0.0085 1000004.01 1000004.01 1000004.01 0.0016 N N N N WESTPAC BANKING CORP (NEW YORK BRANCH) WESTPAC BANKING CORP (NEW YORK BRANCH) 0.598800% 96121TA57 Certificate of Deposit First Tier Security N/A N/A 2016-06-01 2016-07-01 2016-07-01 N N N 0.0043 10001630.10 10001630.10 10001630.10 0.0162 N N N N WESTPAC BANKING CORP WESTPAC BANKING CORP 0.645900% 9612C4SA0 EN5TNI6CI43VEPAMHL14 Financial Company Commercial Paper First Tier Security N/A N/A 2016-06-06 2016-07-05 2016-07-05 N N N 0.0044 3000660.03 3000660.03 3000660.03 0.0049 N N N N CREDIT AGRICOLE SA (LONDON BRANCH) CREDIT AGRICOLE SA (LONDON BRANCH) 0.650000% 0001330437 962NNF008 Certificate of Deposit First Tier Security N/A N/A 2016-07-01 2016-07-01 2016-07-01 N N N 0.0042 3000601.53 3000601.53 3000601.53 0.0049 N N N N WELLS FARGO BANK NA WELLS FARGO BANK NA 0.310000% KB1H1DSPRFMYMCUFXT09 0000827124 976PDT008_0.31_0601 U.S. Government Agency Repurchase Agreement, collateralized only by U.S. Government Agency securities, U.S. Treasuries, and cash Y N 03.000 FGPC C91846 G 2035-09-01 3.000000 10607531.00 10400090.27 Agency Mortgage-Backed Securities First Tier Security N/A N/A 2016-06-01 2016-06-01 2016-06-01 N N N 0.0031 10000000.00 10000000.00 10000000.00 0.0162 N Y Y N WELLS FARGO SECURITIES LLC WELLS FARGO SECURITIES LLC 0.550000% VYVVCKR63DVZZN70PB21 0000072971 976PTX002_0.55_0602 Other Repurchase Agreement, if any collateral falls outside Treasury, Government Agency and cash N N WELLS FARGO MTG LN 2012-RR1 TR 2037-08-27 3.123400 1629689.00 1150123.16 Private Label Collateralized Mortgage Obligations GSAMO TRUST 2004 OPT 2022-01-18 9.130000 2313253.00 2300246.35 Asset-Backed Securities First Tier Security N/A N/A 2016-06-02 2016-06-02 2016-06-02 N N N 0.0055 2000000.00 2000000.00 2000000.00 0.0032 N N Y N WELLS FARGO SECURITIES LLC WELLS FARGO SECURITIES LLC 0.280000% VYVVCKR63DVZZN70PB21 0000072971 976PTZ007_0.28_0602 U.S. Government Agency Repurchase Agreement, collateralized only by U.S. Government Agency securities, U.S. Treasuries, and cash Y N FNMS 03.500 CLBC4437 2046-04-01 3.500000 995275.00 1040056.76 Agency Mortgage-Backed Securities First Tier Security N/A N/A 2016-06-02 2016-06-02 2016-06-02 N N N 0.0028 999993.81 999993.81 999993.81 0.0016 N N Y N WELLS FARGO SECURITIES LLC WELLS FARGO SECURITIES LLC 0.320000% VYVVCKR63DVZZN70PB21 0000072971 976PTZ007_0.32_0607 U.S. Government Agency Repurchase Agreement, collateralized only by U.S. Government Agency securities, U.S. Treasuries, and cash Y N 03.000 FGPC G15798 G 2031-04-01 3.000000 995339.00 1040065.03 Agency Mortgage-Backed Securities First Tier Security N/A N/A 2016-06-07 2016-06-07 2016-06-07 N N N 0.0032 1000000.00 1000000.00 1000000.00 0.0016 N N Y N WELLS FARGO SECURITIES LLC WELLS FARGO SECURITIES LLC 0.550000% VYVVCKR63DVZZN70PB21 0000072971 976PTZ007_0.55_0601 Other Repurchase Agreement, if any collateral falls outside Treasury, Government Agency and cash N N US RESI OPP FD IV TR 2015-1 A 20350227 FLT 549300C1QWDH5EP0FY90 2035-02-27 3.721100 3258360.00 2300246.09 Asset-Backed Securities First Tier Security N/A N/A 2016-06-01 2016-06-01 2016-06-01 N N N 0.0055 3000000.00 3000000.00 3000000.00 0.0049 N Y Y N JP MORGAN SECURITIES LLC JP MORGAN SECURITIES LLC 1.080000% ZBUT11V806EZRVTWT807 0001168163 988WST003_1.08_0830 Other Repurchase Agreement, if any collateral falls outside Treasury, Government Agency and cash N N VODAFONE GROUP PLC NEW SR GLBL NT 17 213800TB53ELEUKM7Q61 2017-03-20 1.625000 717000.00 721828.90 Corporate Debt Securities CITIGROUP INC SUB GLBL NT 27 6SHGI4ZSSLCXXQSBB395 2027-09-29 4.450000 422000.00 431336.28 Corporate Debt Securities First Tier Security N/A N/A 2016-08-29 2016-08-29 2016-08-30 Y JP MORGAN SECURITIES LLC N/A N/A 1.0000 90 N N N 0.0108 1000210.40 1000210.40 1000210.40 0.0016 N N N Y JP MORGAN SECURITIES LLC JP MORGAN SECURITIES LLC 1.080000% ZBUT11V806EZRVTWT807 0001168163 988WST003_1.08_0919 Other Repurchase Agreement, if any collateral falls outside Treasury, Government Agency and cash N N VODAFONE GROUP PLC NEW SR GLBL NT 17 213800TB53ELEUKM7Q61 2017-03-20 1.625000 2664000.00 2681941.67 Corporate Debt Securities U S BANCORP MTNS BK ENT SR NT 2.2%16 N1GZ7BBF3NP8GI976H15 2016-11-15 2.200000 182000.00 183155.30 Corporate Debt Securities SPRINGLEAF MTG LN TR 2013-1 M-3 20580625 FLT 5493008NE6WU82Z6AC30 2058-06-25 3.790000 198135.00 198221.12 Private Label Collateralized Mortgage Obligations NEWELL RUBBERMAID INC SR GLBL NT 4%24 549300LWGYFM1TVO1Z12 2024-12-01 4.000000 2000.00 2102.36 Corporate Debt Securities CITIGROUP INC SUB GLBL NT 27 6SHGI4ZSSLCXXQSBB395 2027-09-29 4.450000 35000.00 35774.34 Corporate Debt Securities CITIGROUP INC SB GLBL FL NT 16 6SHGI4ZSSLCXXQSBB395 2016-06-09 0.906100 100000.00 100211.39 Corporate Debt Securities ABBVIE INC FR5LCKFTG8054YNNRU85 2036-05-14 4.300000 214900.00 213288.13 Corporate Debt Securities PRIDE INTL INC DEL SR NT 6.875%20 2020-08-15 6.875000 2583000.00 2347929.06 Corporate Debt Securities First Tier Security N/A N/A 2016-08-29 2016-08-29 2016-09-19 Y JP MORGAN SECURITIES LLC N/A N/A 1.0000 90 N N N 0.0108 5000956.00 5000956.00 5000956.00 0.0081 N N N Y CREDIT SUISSE SECURITIES (USA) LLC CREDIT SUISSE SECURITIES (USA) LLC 1.250000% 1V8Y6QCX6YMJ2OELII46 0001230485 988WZK004_1.25_0903 Other Repurchase Agreement, if any collateral falls outside Treasury, Government Agency and cash N N NCMT 2007-1 2A2 2037-04-25 0.606000 15585000.00 13804378.38 Asset-Backed Securities First Tier Security N/A N/A 2016-09-03 2016-09-03 2016-09-06 Y Credit Suisse Securities (USA) LLC N/A N/A 1.0000 95 N Y Credit Suisse AG N/A N/A 1.0000 N 0.0125 12007758.00 12007758.00 12007758.00 0.0195 N N N Y LLOYDS BANK PLC (NEW YORK BRANCH) LLOYDS BANK PLC (NEW YORK BRANCH) 0.350000% 0001167831 ATD0GKSK7 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-01 2016-06-01 2016-06-01 N N N 0.0038 8000000.00 8000000.00 8000000.00 0.0130 N Y Y N SKANDINAVISKA ENSKILDA BANKEN AB (GRAND CAYMAN BRANCH) SKANDINAVISKA ENSKILDA BANKEN AB (GRAND CAYMAN BRANCH) 0.370000% 0000917311 ATD0GKSL5 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-01 2016-06-01 2016-06-01 N N N 0.0031 2000000.00 2000000.00 2000000.00 0.0032 N Y Y N DNB BANK ASA (GRAND CAYMAN BRANCH) DNB BANK ASA (GRAND CAYMAN BRANCH) 0.370000% 0001498632 ATD0GLGJ1 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-02 2016-06-02 2016-06-02 N N N 0.0036 9000000.00 9000000.00 9000000.00 0.0146 N N Y N AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD (CAYMAN ISLANDS BRANCH) AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD (CAYMAN ISLANDS BRANCH) 0.370000% 0000859994 ATD0GMR81 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-07 2016-06-07 2016-06-07 N N N 0.0037 7000000.00 7000000.00 7000000.00 0.0114 N N Y N CANADIAN IMPERIAL BANK OF COMMERCE (GRAND CAYMAN) CANADIAN IMPERIAL BANK OF COMMERCE (GRAND CAYMAN) 0.290000% 0000800030 ATD0GMRD0 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-01 2016-06-01 2016-06-01 N N N 0.0029 1000000.00 1000000.00 1000000.00 0.0016 N Y Y N DZ BANK AG DEUTSCHE ZENTRAL GENOSSENSCHAFTSBANK (NEW YORK BRANCH) DZ BANK AG DEUTSCHE ZENTRAL GENOSSENSCHAFTSBANK (NEW YORK BRANCH 0.360000% 5493005PGG4HB3CD7345 0001074042 ATD0GMRE8 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-07 2016-06-07 2016-06-07 N N N 0.0036 5000000.00 5000000.00 5000000.00 0.0081 N N Y N NATIONAL AUSTRALIA BANK LTD (CAYMAN ISLANDS BRANCH) NATIONAL AUSTRALIA BANK LTD (CAYMAN ISLANDS BRANCH) 0.300000% 0000833029 ATD0GMRF5 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-01 2016-06-01 2016-06-01 N N N 0.0030 11000000.00 11000000.00 11000000.00 0.0178 N Y Y N ABBEY NATIONAL TREASURY SERVICES PLC (CAYMAN ISLANDS BRANCH) ABBEY NATIONAL TREASURY SERVICES PLC (CAYMAN ISLANDS BRANCH) 0.300000% 0000931061 ATD0GMRW8 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-01 2016-06-01 2016-06-01 N Y Santander UK Plc N/A N/A 1.0000 N 0.0030 2000000.00 2000000.00 2000000.00 0.0032 N Y Y N AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD (LONDON BRANCH) AUSTRALIA AND NEW ZEALAND BANKING GROUP LTD (LONDON BRANCH) 0.380000% 0000859994 ATD0GMSQ0 Non-Negotiable Time Deposit First Tier Security N/A N/A 2016-06-07 2016-06-07 2016-06-07 N N N 0.0038 5000000.00 5000000.00 5000000.00 0.0081 N N Y N The Charles Schwab Family of Funds 2016-06-07 Mark Fischer Mark Fischer Chief Financial Officer