a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab Municipal Money Fund Ultra Shares |
ii. Class identification number, if any | C000012391 |
iii. Ticker symbol, if any | SWOXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Schwab Municipal Money Fund Investor Shares |
ii. Class identification number, if any | C000012389 |
iii. Ticker symbol, if any | SWTXX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,818,907,117.32000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,229,117,961.40000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,063,984,116.81000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | PNC Capital Markets LLC |
ii. SEC file number | 8-32493 |
iii. CRD number | 000015647 |
iv. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,956,898,000.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Wells Fargo Bank, National Association |
ii. SEC file number | N/A |
iii. CRD number | 000165024 |
iv. LEI, if any | KB1H1DSPRFMYMCUFXT09 |
v. State, if applicable |
SOUTH DAKOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,564,686,435.77000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,766,299,743.25000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,991,851,315.65000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 15,207,034,170.63000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,004,762,972.90000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | TD Securities (USA) LLC |
ii. SEC file number | 8-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,306,366,087.59000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
3 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | Brown Brothers Harriman & Co. |
Line Institutions Record:
2 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
3 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
4 |
Name of institution | State Street Bank and Trust Company |
Line Institutions Record:
5 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
6 |
Name of institution | Goldman Sachs Bank USA |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
2 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 1 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab AMT Tax-Free Money Fund Ultra Shares |
ii. Class identification number, if any | C000219263 |
iii. Ticker symbol, if any | SCTXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Schwab AMT Tax-Free Money Fund Investor Shares |
ii. Class identification number, if any | C000039063 |
iii. Ticker symbol, if any | SWWXX |
Pricing Services Record:
1 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Wells Fargo Bank, National Association |
ii. SEC file number | N/A |
iii. CRD number | 000165024 |
iv. LEI, if any | KB1H1DSPRFMYMCUFXT09 |
v. State, if applicable |
SOUTH DAKOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 246,416,913.90000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 270,904,500.05000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 224,180,878.55000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 554,960,553.58000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 472,091,500.50000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 326,828,755.12000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | TD Securities (USA) LLC |
ii. SEC file number | 8-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 321,659,618.02000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | PNC Capital Markets LLC |
ii. SEC file number | 8-32493 |
iii. CRD number | 000015647 |
iv. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 221,804,000.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,310,118,637.95000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 570,674,254.15000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | Goldman Sachs Bank USA |
Line Institutions Record:
2 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
3 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
4 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
5 |
Name of institution | Brown Brothers Harriman & Co. |
Line Institutions Record:
6 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
3 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
6 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
3 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
5 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab Variable Share Price Money Fund Ultra Shares |
ii. Class identification number, if any | C000164902 |
iii. Ticker symbol, if any | SVUXX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Custodians Record:
1 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | Deutsche Bank Aktiengesellschaft (London, GB, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | Euroclear Bank |
ii. LEI, if any | 549300OZ46BRLZ8Y6F65 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Royal Bank of Canada |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 28,468,000,000.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Fixed Income Clearing Corporation |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300H47WTHXPU08X20 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 59,166,000,000.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 16,435,405,580.24000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 15,265,123,244.22000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Barclays Bank PLC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G5GSEF7VJP5I7OUK5573 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 20,186,979,799.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BNP Paribas |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | R0MUWSFPU8MPRO8K5P83 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 18,428,500,000.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | RBC Dominion Securities Inc. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 30,025,800,000.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 35,491,920,443.12000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 13,800,190,705.73000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Bank of Nova Scotia (The) |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | L3I9ZG2KFGXZ61BMYR72 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 13,959,470,088.00000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
2 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
3 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
4 |
Name of institution | Goldman Sachs Bank USA |
Line Institutions Record:
5 |
Name of institution | Brown Brothers Harriman & Co. |
Line Institutions Record:
6 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
4 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
4 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
5 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 1 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab Government Money Fund Sweep Shares |
ii. Class identification number, if any | C000012381 |
iii. Ticker symbol, if any | SWGXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Schwab Government Money Fund Investor Shares |
ii. Class identification number, if any | C000151955 |
iii. Ticker symbol, if any | SNVXX |
Shares Outstanding Record:
3 |
i. Full name of Class | Schwab Government Money Fund Ultra Shares |
ii. Class identification number, if any | C000222229 |
iii. Ticker symbol, if any | SGUXX |
Pricing Services Record:
1 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Custodians Record:
1 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | Deutsche Bank Aktiengesellschaft (London, GB, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 295,417,581,424.27000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Credit Agricole Corporate and Investment Bank |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 1VUV7VQFKUOQSJ21A208 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 35,853,000,000.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | RBC Dominion Securities Inc. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 51,415,000,000.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Fixed Income Clearing Corporation |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300H47WTHXPU08X20 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 357,520,000,000.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Royal Bank of Canada |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 224,030,000,000.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 72,818,020,124.16000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 69,613,277,419.01000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 84,179,599,945.40000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Barclays Bank PLC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G5GSEF7VJP5I7OUK5573 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 200,218,762,829.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BNP Paribas |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | R0MUWSFPU8MPRO8K5P83 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 45,843,000,000.00000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
4 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
5 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
2 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
3 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
4 |
Name of institution | State Street Bank and Trust Company |
Line Institutions Record:
5 |
Name of institution | Brown Brothers Harriman & Co. |
Line Institutions Record:
6 |
Name of institution | Goldman Sachs Bank USA |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
5 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
6 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 1 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab Treasury Obligations Money Fund Investor Shares |
ii. Class identification number, if any | C000112046 |
iii. Ticker symbol, if any | SNOXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Schwab Treasury Obligations Money Fund Ultra Shares |
ii. Class identification number, if any | C000222231 |
iii. Ticker symbol, if any | SCOXX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | RBC Dominion Securities Inc. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 43,144,000,000.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BNP Paribas |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | R0MUWSFPU8MPRO8K5P83 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 36,777,000,000.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Credit Suisse AG |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | ANGGYXNX0JLX3X63JN86 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 29,811,626,135.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Fixed Income Clearing Corporation |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300H47WTHXPU08X20 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 175,870,000,000.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 13,978,491,147.34000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 13,920,105,551.90000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 168,872,346,141.57000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Bank of Nova Scotia (The) |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | L3I9ZG2KFGXZ61BMYR72 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 34,102,000,000.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 63,933,820,845.30000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Barclays Bank PLC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G5GSEF7VJP5I7OUK5573 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 43,451,614,471.00000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
2 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
5 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
Line Institutions Record:
2 |
Name of institution | Brown Brothers Harriman & Co. |
Line Institutions Record:
3 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
4 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
5 |
Name of institution | Goldman Sachs Bank USA |
Line Institutions Record:
6 |
Name of institution | Citibank, N.A. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
2 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab Retirement Government Money Fund |
ii. Class identification number, if any | C000169257 |
iii. Ticker symbol, if any | SNRXX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BNP Paribas |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | R0MUWSFPU8MPRO8K5P83 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,381,000,000.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,746,130,855.57000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,216,079,449.55000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | RBC Dominion Securities Inc. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,996,000,000.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,346,676,241.50000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Bank of Nova Scotia (The) |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | L3I9ZG2KFGXZ61BMYR72 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,582,431,472.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 13,472,408,247.37000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Barclays Bank PLC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G5GSEF7VJP5I7OUK5573 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,798,692,146.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Royal Bank of Canada |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 16,708,000,000.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Fixed Income Clearing Corporation |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300H47WTHXPU08X20 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 23,943,000,000.00000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | Goldman Sachs Bank USA |
Line Institutions Record:
2 |
Name of institution | Brown Brothers Harriman & Co. |
Line Institutions Record:
3 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
4 |
Name of institution | State Street Bank and Trust Company |
Line Institutions Record:
5 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
6 |
Name of institution | The Bank of New York Mellon |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
4 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
6 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
2 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
5 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 1 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab U.S. Treasury Money Fund Ultra Shares |
ii. Class identification number, if any | C000222230 |
iii. Ticker symbol, if any | SUTXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Schwab U.S. Treasury Money Fund Investor Shares |
ii. Class identification number, if any | C000198373 |
iii. Ticker symbol, if any | SNSXX |
Pricing Services Record:
1 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Custodians Record:
1 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | Deutsche Bank Aktiengesellschaft (London, GB, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,677,525,194.80000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,426,789,492.88000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,209,533,077.89000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Daiwa Capital Markets America Inc. |
ii. SEC file number | 8-12242 |
iii. CRD number | 000001576 |
iv. LEI, if any | M67H5PRC0NQKM73ZAS82 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,723,471,117.10000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,269,817,030.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,412,008,361.42000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Deutsche Bank Securities Inc. |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,021,831,778.42000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 27,925,783,978.13000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Mizuho Securities USA LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,452,227,101.13000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Oppenheimer & Co. Inc. |
ii. SEC file number | 8-4077 |
iii. CRD number | 000000249 |
iv. LEI, if any | 254900VH02JQR2L8XD64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,807,291,782.46000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
2 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
5 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
2 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
3 |
Name of institution | Goldman Sachs Bank USA |
Line Institutions Record:
4 |
Name of institution | State Street Bank and Trust Company |
Line Institutions Record:
5 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
6 |
Name of institution | Brown Brothers Harriman & Co. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
5 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 1 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab New York Municipal Money Fund Investor Shares |
ii. Class identification number, if any | C000012395 |
iii. Ticker symbol, if any | SWYXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Schwab New York Municipal Money Fund Ultra Shares |
ii. Class identification number, if any | C000219265 |
iii. Ticker symbol, if any | SNYXX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | State Street Bank and Trust Company |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 571474TGEMMWANRLN572 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 96,699,687.85000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 356,618,240.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 421,739,984.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 83,900,968.50000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 546,898,612.90000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 362,867,285.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 323,852,174.80000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 468,442,718.88000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | PNC Capital Markets LLC |
ii. SEC file number | 8-32493 |
iii. CRD number | 000015647 |
iv. LEI, if any | 7OGNSSLOQJ8U3B9Y5F18 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 165,805,000.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | TD Securities (USA) LLC |
ii. SEC file number | 8-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 624,293,497.75000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | Goldman Sachs Bank USA |
Line Institutions Record:
2 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
3 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
4 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
5 |
Name of institution | State Street Bank and Trust Company |
Line Institutions Record:
6 |
Name of institution | Brown Brothers Harriman & Co. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
2 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
4 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
2 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
5 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 1 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab California Municipal Money Fund Investor Shares |
ii. Class identification number, if any | C000012393 |
iii. Ticker symbol, if any | SWKXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Schwab California Municipal Money Fund Ultra Shares |
ii. Class identification number, if any | C000219264 |
iii. Ticker symbol, if any | SCAXX |
Pricing Services Record:
1 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,694,075,981.80000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,179,751,163.80000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | U.S. Bancorp Investments, Inc. |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,565,139,674.40000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,447,361,436.65000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,017,185,425.91000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Wells Fargo Bank, National Association |
ii. SEC file number | N/A |
iii. CRD number | 000165024 |
iv. LEI, if any | KB1H1DSPRFMYMCUFXT09 |
v. State, if applicable |
SOUTH DAKOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 693,448,300.50000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,078,435,415.76000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,688,220,718.10000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | TD Securities (USA) LLC |
ii. SEC file number | 8-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 548,901,374.30000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,775,410,013.85000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
Line Institutions Record:
2 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
3 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
4 |
Name of institution | Goldman Sachs Bank USA |
Line Institutions Record:
5 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
6 |
Name of institution | Brown Brothers Harriman & Co. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
5 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
6 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
2 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
6 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Schwab Value Advantage Money Fund Investor Shares |
ii. Class identification number, if any | C000012383 |
iii. Ticker symbol, if any | SWVXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Schwab Value Advantage Money Fund Ultra Shares |
ii. Class identification number, if any | C000038267 |
iii. Ticker symbol, if any | SNAXX |
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Services, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 13-3668779 |
Description of other identifying number | Tax ID |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Custodians Record:
1 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | Deutsche Bank Aktiengesellschaft (London, GB, Branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | Euroclear Bank |
ii. LEI, if any | 549300OZ46BRLZ8Y6F65 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00896 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Charles Schwab Investment Management, Inc. |
ii. LEI, if any, or other identifying number | EVQ6EP3QESDF386W4D54 |
Description of other identifying number | |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Charles Schwab & Co., Inc. |
b. SEC file number | 8-16514 |
c. CRD number | 000005393 |
d. LEI, if any | 549300ZP8XN77GK5BS04 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | TD Ameritrade Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Charles Schwab Singapore Pte. Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | TD Ameritrade Clearing, Inc. |
b. SEC file number | 8-16335 |
c. CRD number | 000005633 |
d. LEI, if any | MRK678VXOI09YSSN8X19 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Charles Schwab, Hong Kong, Ltd. |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | TD Ameritrade Singapore Pte Ltd |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 00000000000000000000 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Charles Schwab, U.K., Limited |
b. SEC file number | N/A |
c. CRD number | 000000000 |
d. LEI, if any | 549300PF2KTM8A12FH91 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | TD Ameritrade, Inc. |
b. SEC file number | 8-23395 |
c. CRD number | 000007870 |
d. LEI, if any | CWQYQU0TV2NLMLZKNB44 |
e. State, if applicable |
NEBRASKA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | ICAP Energy LLC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300VM07TF7OTNNM51 |
v. State, if applicable |
KENTUCKY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 219,994,600,000.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 244,967,414,695.92000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BNP Paribas |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | R0MUWSFPU8MPRO8K5P83 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 261,996,200,000.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 711,988,973,324.39000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Fixed Income Clearing Corporation |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300H47WTHXPU08X20 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,403,407,000,000.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Barclays Bank PLC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | G5GSEF7VJP5I7OUK5573 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 247,786,448,652.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 441,712,835,994.86000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Royal Bank of Canada |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 765,093,000,000.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | RBC Dominion Securities Inc. |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
iv. LEI, if any | 549300QJJX6CVVUXLE15 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 342,062,000,000.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 395,644,923,592.54000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 850,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | The Bank of New York Mellon |
Line Institutions Record:
2 |
Name of institution | Goldman Sachs Bank USA |
Line Institutions Record:
3 |
Name of institution | Citibank, N.A. |
Line Institutions Record:
4 |
Name of institution | State Street Bank and Trust Company |
Line Institutions Record:
5 |
Name of institution | Credit Suisse AG, New York Branch |
Line Institutions Record:
6 |
Name of institution | Brown Brothers Harriman & Co. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
2 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
3 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
Line of Credit details Record:
2 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 400,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | THE CHARLES SCHWAB FAMILY OF FUNDS |
SEC File number(
e.g., 811-
)
| 811-05954 |
Shared Credit Users Record:
2 |
Name of fund | LAUDUS TRUST |
SEC File number(
e.g., 811-
)
| 811-05547 |
Shared Credit Users Record:
3 |
Name of fund | SCHWAB CAPITAL TRUST |
SEC File number(
e.g., 811-
)
| 811-07704 |
Shared Credit Users Record:
4 |
Name of fund | SCHWAB INVESTMENTS |
SEC File number(
e.g., 811-
)
| 811-06200 |
Shared Credit Users Record:
5 |
Name of fund | SCHWAB ANNUITY PORTFOLIOS |
SEC File number(
e.g., 811-
)
| 811-08314 |
Shared Credit Users Record:
6 |
Name of fund | SCHWAB STRATEGIC TRUST |
SEC File number(
e.g., 811-
)
| 811-22311 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|