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| Name | Symbol | Market | Type |
|---|---|---|---|
| Schwab US Large Cap | AMEX:SCHX | AMEX | Exchange Traded Fund |
| Price Change | % Change | Price | High Price | Low Price | Open Price | Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|
| 0.08 | 0.12% | 65.44 | 65.46 | 64.78 | 65.30 | 477,750 | 00:09:12 |
|
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
| Form N-CEN Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-CEN ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES | OMB APPROVAL |
| OMB Number: 3235-0729 Estimated average burden hours per response: 19.04 |
| Series ID Record | Series ID | Class ID |
|---|---|---|
| #1 | S000040876 | 1. C000126714 |
| #2 | S000040878 | 1. C000126716 |
| #3 | S000030518 | 1. C000094080 |
| #4 | S000040877 | 1. C000126715 |
| #5 | S000040881 | 1. C000126719 |
| #6 | S000040879 | 1. C000126717 |
| #7 | S000040880 | 1. C000126718 |
| a. Report for period ending: | 2020-02-29 |
| b. Does this report cover a period of less than 12 months? | ☐ Yes ☒ No |
| a. Full name of Registrant | SCHWAB STRATEGIC TRUST |
|
b. Investment Company Act file number ( e.g., 811-) | 811-22311 |
| c. CIK | 0001454889 |
| d. LEI | 549300NAZEQOIX80E226 |
| a. Street 1 | 211 MAIN STREET |
| Street 2 | |
| b. City | SAN FRANCISCO |
| c. State, if applicable |
CALIFORNIA
|
| d. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| e. Zip code and zip code extension, or foreign postal code | 94105 |
| f. Telephone number (including country code if foreign) | 800-648-5300 |
| g. Public Website, if any | www.schwabfunds.com |
| Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section. |
| Location books Record |
Name of person (e.g., a custodian of records) | Telephone | Address | Briefly describe books and records kept at this location |
|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 617-786-3000 | One Lincoln Street Boston, MASSACHUSETTS 02111 UNITED STATES OF AMERICA | Transfer Agent, Custodian, and Fund Accountant Records |
| #2 | SEI Investments Distribution Co. | 610-676-1000 | One Freedom Valley Drive Oaks, PENNSYLVANIA 19456 UNITED STATES OF AMERICA | Principal Underwriter Records |
| #3 | Charles Schwab Investment Management, Inc. | 800-648-5300 | 211 Main Street San Francisco, CALIFORNIA 94105 UNITED STATES OF AMERICA | Investment Adviser and Fund Administrator Records |
| Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form. |
| a. Is this the first filing on this form by the Registrant? | ☐ Yes ☒ No |
| b. Is this the last filing on this form by the Registrant? | ☐ Yes ☒ No |
| Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services. In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically. |
| Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar. |
| a. Is the Registrant part of a family of investment companies? | ☒ Yes ☐ No |
| i. Full name of family of investment companies | SCHFLFSETF |
| Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act). |
| a. Indicate the classification of the Registrant by checking the applicable item | ☒
a. Open-end management investment company registered under the Act on Form N-1A
☐ b. Closed-end management investment company registered under the Act on Form N-2 ☐ c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3 ☐ d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4 ☐ e. Small business investment company registered under the Act on Form N-5 ☐ f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6 ☐ g. Unit investment trust registered under the Act on Form N-8B-2 |
| i. Total number of Series of the Registrant | 25 |
| ii. If a Series of the Registrant with a fiscal year end covered by the report was terminated during the reporting period, provide the following information: |
| Terminated Organization Record | Name of the Series | Series identification number | Date of termination (month/year) |
|---|---|---|---|
| — | — | — | — |
| a. Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? | ☒ Yes ☐ No |
| a. Provide the information requested below about each person serving as director of the Registrant (management investment companies only): |
| Director Record | Full Name | CRD number, if any | Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? | Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-): |
|---|---|---|---|---|
| #1 | Nancy F. Heller | 001813276 | No | 811-06200 811-08314 811-05547 811-05954 811-07704 |
| #2 | Gerald B. Smith | 000500814 | No | 811-05547 811-08314 811-06200 811-07704 811-05954 |
| #3 | Kiran M. Patel | 000000000 | No | 811-05547 811-08314 811-05954 811-06200 811-07704 |
| #4 | Walter W. Bettinger II | 002915574 | Yes | 811-07704 811-08314 811-06200 811-05547 811-05954 |
| #5 | Kimberly S. Patmore | 000000000 | No | 811-08314 811-07704 811-05954 811-06200 811-05547 |
| #6 | David L. Mahoney | 000000000 | No | 811-08314 811-06200 811-07704 811-05954 811-05547 |
| #7 | Jonathan de St. Paer | 004731700 | Yes | 811-05547 811-05954 811-06200 811-08314 811-07704 |
| #8 | John F. Cogan | 000000000 | No | 811-07704 811-05954 811-08314 811-05547 811-06200 |
| #9 | Robert W. Burns | 000000000 | No | 811-08314 811-05954 811-05547 811-07704 811-06200 |
| #10 | Stephen Timothy Kochis | 002293884 | No | 811-05547 811-07704 811-08314 811-06200 811-05954 |
| #11 | Jane P. Moncreiff | 000000000 | No | 811-05547 811-06200 811-07704 811-05954 811-08314 |
| #12 | Joseph R. Martinetto | 002996277 | Yes | 811-08314 811-07704 811-05547 811-06200 811-05954 |
| a. Provide the information requested below about each person serving as chief compliance officer (CCO) of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1): |
| Chief compliance officer Record | Full Name | CRD Number, if any | Telephone | Address | Has the CCO changed since the last filing? | If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
|---|---|---|---|---|---|---|
| #1 | Michael Hogan | 002986381 | XXXXXX | 211 Main Street San Francisco, CALIFORNIA 94105 UNITED STATES OF AMERICA | No |
|
| Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters. |
| a. Were any matters submitted by the Registrant for its security holders' vote during the reporting period? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities. |
| a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? | ☐ Yes ☒ No |
| b. Has any proceeding previously reported been terminated? | ☐ Yes ☒ No |
| a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? | ☐ Yes ☒ No |
| a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? | ☒ Yes ☐ No |
| i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. |
| a. Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? | ☐ Yes ☒ No |
| a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? | ☒ Yes ☐ No |
| i. If yes, provide the release number for each order: |
|
| a. Provide the information requested below about each principal underwriter: |
| Principal underwriter Record | Full Name | SEC file number (e.g., 8-) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? |
|---|---|---|---|---|---|---|---|
| #1 | SEI Investments Distribution Co. | 008-27897 | 000010690 | 0000000000 | PENNSYLVANIA | UNITED STATES OF AMERICA | No |
| b. Have any principal underwriters been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each independent public accountant: |
| Public accountant Record | Full Name | PCAOB Number | LEI, if any | State, if applicable | Foreign country, if applicable |
|---|---|---|---|---|---|
| #1 | PricewaterhouseCoopers LLP | 238 | 5493002GVO7EO8RNNS37 | NEW YORK | UNITED STATES OF AMERICA |
| b. Has the independent public accountant changed since the last filing? | ☐ Yes ☒ No |
| Instruction. Small business investment companies are not required to respond to this item. |
| a. For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? | ☐ Yes ☒ No |
| a. For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? | ☐ Yes ☒ No |
| Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category. |
| a. Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? | ☐ Yes ☒ No |
| a. Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? | ☐ Yes ☒ No |
| a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? | ☐ Yes ☒ No |
| a. During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? | ☐ Yes ☒ No |
| Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below. |
| Management Investment Record: 1 |
| a. Full Name of the Fund | Schwab Fundamental International Small Company Index ETF |
| b. Series identication number, if any | S000040880 |
| c. LEI | 5493007DE85B48NURI65 |
| d. Is this the first filing on this form by the Fund? | ☐ 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 | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | Schwab Fundamental International Small Company Index ETF | C000126718 | FNDC |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.13000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.24000000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.01000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.01000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | LEI, if any | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | Goldman Sachs Bank USA | KD3XUN7C6T14HNAYLU02 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | LEI, if any, of person providing indemnification | ||
| #1 | N/A | N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | LEI, if any | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
|---|---|---|---|---|
| #1 | Wells Fargo Funds Management, LLC | 549300HDKZE50HZZOG90 | No | No |
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☒ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 34,244,720.27000000 |
| g. Provide the net income from securities lending activities | 2,303,895.65000000 |
| a. Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☐ N/A |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|
| Investment Advisers Record: 1 | ||||||
| Charles Schwab Investment Management, Inc. | 801-35905 | 000106753 | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | LEI, if any | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|
| Transfer Agents Record: 1 | ||||||
| State Street Bank and Trust Company | 85-05003 | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | PricingDirect Inc. | 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | ICE Data Services, Inc. | 13-3668779 Description: Tax ID | MASSACHUSETTS | UNITED STATES OF AMERICA | No |
| #3 | Bloomberg L.P. | 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | Refinitiv US Holdings Inc. | 549300NF240HXJO7N016 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | LEI, if any | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Trust Company Canada | 549300L71XG2CTQ2V827 | CANADA (FEDERAL LEVEL) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #2 | UniCredit Bank Austria AG | D1HEB8VEU6D9M8ZUXG17 | AUSTRIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #3 | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) | F3JS33DEI6XQ4ZBPTN86 | NORWAY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #4 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| #5 | Citibank, National Association (Singapore, SG, Branch) | E57ODZWZ7FF32TWEFA76 | SINGAPORE | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #6 | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) | 2HI3YI5320L3RW6NJ957 | NEW ZEALAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #7 | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) | 2HI3YI5320L3RW6NJ957 | KOREA (THE REPUBLIC OF) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #8 | Bank Handlowy w Warszawie Spolka Akcyjna | XLEZHWWOI4HFQDGL4793 | POLAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #9 | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) | 7LTWFZYICNSX8D621K86 | SPAIN | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #10 | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) | 7LTWFZYICNSX8D621K86 | NETHERLANDS | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #11 | Skandinaviska Enskilda Banken A/S | F3JS33DEI6XQ4ZBPTN86 | DENMARK | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #12 | State Street Bank International GmbH | ZMHGNT7ZPKZ3UFZ8EO46 | GERMANY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #13 | Bank Hapoalim B.M. | B6ARUI4946ST4S7WOU88 | ISRAEL | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #14 | Skandinaviska Enskilda Banken AB | F3JS33DEI6XQ4ZBPTN86 | SWEDEN | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #15 | The Hongkong and Shanghai Banking Corporation Limited | 2HI3YI5320L3RW6NJ957 | HONG KONG | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #16 | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) | F3JS33DEI6XQ4ZBPTN86 | FINLAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #17 | Deutsche Bank Societa per Azioni | 529900SS7ZWCX82U3W60 | ITALY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #18 | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) | 2HI3YI5320L3RW6NJ957 | AUSTRALIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #19 | Euroclear Bank | 549300OZ46BRLZ8Y6F65 | BELGIUM | No | Yes | Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) | |
| #20 | UBS Switzerland AG | 549300WOIFUSNYH0FL22 | SWITZERLAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #21 | State Street Bank and Trust Company (London, GB, Branch) | 0000000000 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #22 | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) | RB0PEZSDGCO3JS6CEU02 | JAPAN | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Charles Schwab Investment Management, Inc. | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Charles Schwab Singapore Pte. Ltd. | N/A | 000000000 | 00000000000000000000 | SINGAPORE | 0.00000000 | |
| #2 | Jane Street Execution Services, LLC | 8-69254 | 000167280 | 549300HXJLXCPDWAH070 | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| #3 | Charles Schwab, U.K., Limited | N/A | 000000000 | 549300PF2KTM8A12FH91 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | 0.00000000 | |
| #4 | Charles Schwab & Co., Inc. | 8-16514 | 000005393 | 549300ZP8XN77GK5BS04 | CALIFORNIA | UNITED STATES OF AMERICA | 0.00000000 |
| #5 | Charles Schwab Australia Pty Limited | N/A | 000000000 | 00000000000000000000 | AUSTRALIA | 0.00000000 | |
| #6 | Charles Schwab, Hong Kong, Ltd. | N/A | 000000000 | 00000000000000000000 | HONG KONG | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | NEW YORK | UNITED STATES OF AMERICA | 6,149.70000000 |
| #2 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 47,178.35000000 |
| #3 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | NEW YORK | UNITED STATES OF AMERICA | 18,290.84000000 |
| #4 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 77,907.91000000 |
| #5 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 10,090.67000000 |
| #6 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | NEW YORK | UNITED STATES OF AMERICA | 86,202.56000000 |
| #7 | CLSA Americas, LLC | 8-69166 | 000165533 | 213800M2DXATWY7JMS07 | NEW YORK | UNITED STATES OF AMERICA | 4,974.16000000 |
| #8 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | CYYGQCGNHMHPSMRL3R97 | NEW YORK | UNITED STATES OF AMERICA | 9,851.59000000 |
| #9 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | NEW YORK | UNITED STATES OF AMERICA | 15,645.47000000 |
| #10 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 4,315.34000000 |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 294,098.05000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | NEW YORK | UNITED STATES OF AMERICA | 15,465,845.57000000 |
| #2 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 393,831.75000000 |
| #3 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 1,582,637.01000000 |
| #4 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 25,800,430.64000000 |
| #5 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | NEW YORK | UNITED STATES OF AMERICA | 919,595.98000000 |
| #6 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | NEW YORK | UNITED STATES OF AMERICA | 79,785.54000000 |
| #7 | Deutsche Bank Securities Inc. | 8-17822 | 000002525 | 9J6MBOOO7BECTDTUZW19 | NEW YORK | UNITED STATES OF AMERICA | 38,666.71000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 54,677,112.64000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 1,968,206,308.32000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. 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? | 750,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | LAUDUS TRUST | 811-05547 |
| #2 | SCHWAB INVESTMENTS | 811-06200 |
| #3 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #4 | SCHWAB CAPITAL TRUST | 811-07704 |
| #5 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #6 | SCHWAB ANNUITY PORTFOLIOS | 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? | 500,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB INVESTMENTS | 811-06200 |
| #2 | LAUDUS TRUST | 811-05547 |
| #3 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #4 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #5 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #6 | SCHWAB CAPITAL TRUST | 811-07704 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| Management Investment Record: 2 |
| a. Full Name of the Fund | Schwab U.S. REIT ETF |
| b. Series identication number, if any | S000030518 |
| c. LEI | 549300OLDKO120DR6467 |
| d. Is this the first filing on this form by the Fund? | ☐ 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 | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | Schwab U.S. REIT ETF | C000094080 | SCHH |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.00000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.07000000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.01000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.01000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | LEI, if any | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | Goldman Sachs Bank USA | KD3XUN7C6T14HNAYLU02 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | LEI, if any, of person providing indemnification | ||
| #1 | N/A | N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | LEI, if any | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
|---|---|---|---|---|
| #1 | Wells Fargo Funds Management, LLC | 549300HDKZE50HZZOG90 | No | No |
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☒ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 14,282,386.57000000 |
| g. Provide the net income from securities lending activities | 345,107.17000000 |
| a. Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☐ N/A |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|
| Investment Advisers Record: 1 | ||||||
| Charles Schwab Investment Management, Inc. | 801-35905 | 000106753 | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | LEI, if any | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|
| Transfer Agents Record: 1 | ||||||
| State Street Bank and Trust Company | 85-05003 | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | Refinitiv US Holdings Inc. | 549300NF240HXJO7N016 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | Bloomberg L.P. | 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | PricingDirect Inc. | 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | ICE Data Services, Inc. | 13-3668779 Description: Tax ID | MASSACHUSETTS | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | LEI, if any | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Charles Schwab Investment Management, Inc. | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Charles Schwab Singapore Pte. Ltd. | N/A | 000000000 | 00000000000000000000 | SINGAPORE | 0.00000000 | |
| #2 | Jane Street Execution Services, LLC | 8-69254 | 000167280 | 549300HXJLXCPDWAH070 | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| #3 | Charles Schwab, Hong Kong, Ltd. | N/A | 000000000 | 00000000000000000000 | HONG KONG | 0.00000000 | |
| #4 | Charles Schwab Australia Pty Limited | N/A | 000000000 | 00000000000000000000 | AUSTRALIA | 0.00000000 | |
| #5 | Charles Schwab & Co., Inc. | 8-16514 | 000005393 | 549300ZP8XN77GK5BS04 | CALIFORNIA | UNITED STATES OF AMERICA | 0.00000000 |
| #6 | Charles Schwab, U.K., Limited | N/A | 000000000 | 549300PF2KTM8A12FH91 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | NEW YORK | UNITED STATES OF AMERICA | 4,549.01000000 |
| #2 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 7,264.61000000 |
| #3 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 8,121.87000000 |
| #4 | Instinet, LLC | 8-23669 | 000007897 | 549300MGMN3RKMU8FT57 | NEW YORK | UNITED STATES OF AMERICA | 7,880.32000000 |
| #5 | Cowen and Company, LLC | 8-22522 | 000007616 | 549300WR155U7DVMIW58 | NEW YORK | UNITED STATES OF AMERICA | 5,315.43000000 |
| #6 | Siebert Williams Shank & Co., LLC | 8-49877 | 000042568 | 254900VTARX8RAY9QK77 | NEW YORK | UNITED STATES OF AMERICA | 4,849.08000000 |
| #7 | Loop Capital Markets LLC | 8-50140 | 000043098 | 254900FPPM2WN90D4786 | ILLINOIS | UNITED STATES OF AMERICA | 5,127.78000000 |
| #8 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 8,729.72000000 |
| #9 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | NEW YORK | UNITED STATES OF AMERICA | 25,348.18000000 |
| #10 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 24,634.76000000 |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 128,100.15000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 1,095,437.40000000 |
| #2 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 11,666,340.00000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 12,761,777.40000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 5,724,197,782.25000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. 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? | 500,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB CAPITAL TRUST | 811-07704 |
| #2 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #3 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #4 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #5 | SCHWAB INVESTMENTS | 811-06200 |
| #6 | LAUDUS TRUST | 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? | 750,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #2 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #3 | SCHWAB INVESTMENTS | 811-06200 |
| #4 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #5 | LAUDUS TRUST | 811-05547 |
| #6 | SCHWAB CAPITAL TRUST | 811-07704 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| Management Investment Record: 3 |
| a. Full Name of the Fund | Schwab Fundamental U.S. Broad Market Index ETF |
| b. Series identication number, if any | S000040876 |
| c. LEI | 549300C3ZT0PEHCP8469 |
| d. Is this the first filing on this form by the Fund? | ☐ 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 | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | Schwab Fundamental U.S. Broad Market Index ETF | C000126714 | FNDB |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.07000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.18000000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.01000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.01000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | LEI, if any | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | Goldman Sachs Bank USA | KD3XUN7C6T14HNAYLU02 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | LEI, if any, of person providing indemnification | ||
| #1 | N/A | N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | LEI, if any | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
|---|---|---|---|---|
| #1 | Wells Fargo Funds Management, LLC | 549300HDKZE50HZZOG90 | No | No |
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☒ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 569,507.44000000 |
| g. Provide the net income from securities lending activities | 47,658.20000000 |
| a. Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☐ N/A |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|
| Investment Advisers Record: 1 | ||||||
| Charles Schwab Investment Management, Inc. | 801-35905 | 000106753 | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | LEI, if any | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|
| Transfer Agents Record: 1 | ||||||
| State Street Bank and Trust Company | 85-05003 | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | Refinitiv US Holdings Inc. | 549300NF240HXJO7N016 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | PricingDirect Inc. | 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | Bloomberg L.P. | 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | ICE Data Services, Inc. | 13-3668779 Description: Tax ID | MASSACHUSETTS | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | LEI, if any | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Charles Schwab Investment Management, Inc. | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Charles Schwab Singapore Pte. Ltd. | N/A | 000000000 | 00000000000000000000 | SINGAPORE | 0.00000000 | |
| #2 | Charles Schwab, Hong Kong, Ltd. | N/A | 000000000 | 00000000000000000000 | HONG KONG | 0.00000000 | |
| #3 | Charles Schwab, U.K., Limited | N/A | 000000000 | 549300PF2KTM8A12FH91 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | 0.00000000 | |
| #4 | Charles Schwab Australia Pty Limited | N/A | 000000000 | 00000000000000000000 | AUSTRALIA | 0.00000000 | |
| #5 | Jane Street Execution Services, LLC | 8-69254 | 000167280 | 549300HXJLXCPDWAH070 | NEW YORK | UNITED STATES OF AMERICA | 27.04000000 |
| #6 | Charles Schwab & Co., Inc. | 8-16514 | 000005393 | 549300ZP8XN77GK5BS04 | CALIFORNIA | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 336.91000000 |
| #2 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 1,144.81000000 |
| #3 | Stuart Frankel & Co., Incorporated | 8-17419 | 000014593 | 254900XE1RBF5OLE0T50 | NEW YORK | UNITED STATES OF AMERICA | 381.36000000 |
| #4 | BTIG, LLC | 8-65473 | 000122225 | 549300GTG9PL6WO3EC51 | CALIFORNIA | UNITED STATES OF AMERICA | 1,451.90000000 |
| #5 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | NEW YORK | UNITED STATES OF AMERICA | 636.31000000 |
| #6 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 657.51000000 |
| #7 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 651.65000000 |
| #8 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 583.51000000 |
| #9 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 1,352.02000000 |
| #10 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | NEW YORK | UNITED STATES OF AMERICA | 646.09000000 |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 10,524.05000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | NEW YORK | UNITED STATES OF AMERICA | 21,643.48000000 |
| #2 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 152,053.64000000 |
| #3 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 609,764.83000000 |
| #4 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 260,275.74000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1,159,234.39000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 282,436,789.49000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. 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? | 500,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB INVESTMENTS | 811-06200 |
| #2 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #3 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #4 | LAUDUS TRUST | 811-05547 |
| #5 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #6 | SCHWAB CAPITAL TRUST | 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? | 750,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB INVESTMENTS | 811-06200 |
| #2 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #3 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #4 | LAUDUS TRUST | 811-05547 |
| #5 | SCHWAB CAPITAL TRUST | 811-07704 |
| #6 | SCHWAB STRATEGIC TRUST | 811-22311 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| Management Investment Record: 4 |
| a. Full Name of the Fund | Schwab Fundamental International Large Company Index ETF |
| b. Series identication number, if any | S000040879 |
| c. LEI | 549300V68SWSEW0KPS30 |
| d. Is this the first filing on this form by the Fund? | ☐ 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 | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | Schwab Fundamental International Large Company Index ETF | C000126717 | FNDF |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.36000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.12000000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.00000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.00000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | LEI, if any | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | Goldman Sachs Bank USA | KD3XUN7C6T14HNAYLU02 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | LEI, if any, of person providing indemnification | ||
| #1 | N/A | N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | LEI, if any | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
|---|---|---|---|---|
| #1 | Wells Fargo Funds Management, LLC | 549300HDKZE50HZZOG90 | No | No |
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☒ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 20,554,562.37000000 |
| g. Provide the net income from securities lending activities | 1,976,328.57000000 |
| a. Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☐ N/A |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|
| Investment Advisers Record: 1 | ||||||
| Charles Schwab Investment Management, Inc. | 801-35905 | 000106753 | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | LEI, if any | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|
| Transfer Agents Record: 1 | ||||||
| State Street Bank and Trust Company | 85-05003 | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | PricingDirect Inc. | 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | Bloomberg L.P. | 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | ICE Data Services, Inc. | 13-3668779 Description: Tax ID | MASSACHUSETTS | UNITED STATES OF AMERICA | No |
| #4 | Refinitiv US Holdings Inc. | 549300NF240HXJO7N016 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | LEI, if any | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) | 2HI3YI5320L3RW6NJ957 | AUSTRALIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #2 | The Standard Bank of South Africa Limited | QFC8ZCW3Q5PRXU1XTM60 | SOUTH AFRICA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #3 | Skandinaviska Enskilda Banken AB | F3JS33DEI6XQ4ZBPTN86 | SWEDEN | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #4 | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) | 7LTWFZYICNSX8D621K86 | NETHERLANDS | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #5 | Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) | 7LTWFZYICNSX8D621K86 | SPAIN | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #6 | Euroclear Bank | 549300OZ46BRLZ8Y6F65 | BELGIUM | No | Yes | Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) | |
| #7 | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) | 2HI3YI5320L3RW6NJ957 | KOREA (THE REPUBLIC OF) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #8 | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) | RB0PEZSDGCO3JS6CEU02 | JAPAN | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #9 | State Street Trust Company Canada | 549300L71XG2CTQ2V827 | CANADA (FEDERAL LEVEL) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #10 | Bank Hapoalim B.M. | B6ARUI4946ST4S7WOU88 | ISRAEL | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #11 | Bank Handlowy w Warszawie Spolka Akcyjna | XLEZHWWOI4HFQDGL4793 | POLAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #12 | State Street Bank International GmbH | ZMHGNT7ZPKZ3UFZ8EO46 | GERMANY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #13 | Deutsche Bank Societa per Azioni | 529900SS7ZWCX82U3W60 | ITALY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #14 | UBS Switzerland AG | 549300WOIFUSNYH0FL22 | SWITZERLAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #15 | The Hongkong and Shanghai Banking Corporation Limited | 2HI3YI5320L3RW6NJ957 | HONG KONG | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #16 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| #17 | Citibank, National Association (Singapore, SG, Branch) | E57ODZWZ7FF32TWEFA76 | SINGAPORE | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #18 | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) | F3JS33DEI6XQ4ZBPTN86 | NORWAY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #19 | UniCredit Bank Austria AG | D1HEB8VEU6D9M8ZUXG17 | AUSTRIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #20 | State Street Bank and Trust Company (London, GB, Branch) | 0000000000 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #21 | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) | F3JS33DEI6XQ4ZBPTN86 | FINLAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #22 | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) | 2HI3YI5320L3RW6NJ957 | NEW ZEALAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #23 | Skandinaviska Enskilda Banken A/S | F3JS33DEI6XQ4ZBPTN86 | DENMARK | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Charles Schwab Investment Management, Inc. | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Charles Schwab, U.K., Limited | N/A | 000000000 | 549300PF2KTM8A12FH91 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | 0.00000000 | |
| #2 | Charles Schwab, Hong Kong, Ltd. | N/A | 000000000 | 00000000000000000000 | HONG KONG | 0.00000000 | |
| #3 | Jane Street Execution Services, LLC | 8-69254 | 000167280 | 549300HXJLXCPDWAH070 | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| #4 | Charles Schwab Singapore Pte. Ltd. | N/A | 000000000 | 00000000000000000000 | SINGAPORE | 0.00000000 | |
| #5 | Charles Schwab & Co., Inc. | 8-16514 | 000005393 | 549300ZP8XN77GK5BS04 | CALIFORNIA | UNITED STATES OF AMERICA | 0.00000000 |
| #6 | Charles Schwab Australia Pty Limited | N/A | 000000000 | 00000000000000000000 | AUSTRALIA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | NEW YORK | UNITED STATES OF AMERICA | 55,213.24000000 |
| #2 | CLSA Americas, LLC | 8-69166 | 000165533 | 213800M2DXATWY7JMS07 | NEW YORK | UNITED STATES OF AMERICA | 26,775.63000000 |
| #3 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | NEW YORK | UNITED STATES OF AMERICA | 18,119.91000000 |
| #4 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 112,676.77000000 |
| #5 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 9,229.79000000 |
| #6 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 45,902.43000000 |
| #7 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | NEW YORK | UNITED STATES OF AMERICA | 13,572.32000000 |
| #8 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | NEW YORK | UNITED STATES OF AMERICA | 76,522.54000000 |
| #9 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 11,680.67000000 |
| #10 | HSBC Securities (USA) Inc. | 8-41562 | 000019585 | CYYGQCGNHMHPSMRL3R97 | NEW YORK | UNITED STATES OF AMERICA | 10,494.56000000 |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 398,838.70000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | NEW YORK | UNITED STATES OF AMERICA | 78,186,312.49000000 |
| #2 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 52,872,345.87000000 |
| #3 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 13,582,070.99000000 |
| #4 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | NEW YORK | UNITED STATES OF AMERICA | 3,223,247.20000000 |
| #5 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 29,847.23000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 152,937,565.01000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 4,408,899,183.82000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. 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? | 750,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #2 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #3 | SCHWAB CAPITAL TRUST | 811-07704 |
| #4 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #5 | SCHWAB INVESTMENTS | 811-06200 |
| #6 | LAUDUS TRUST | 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? | 500,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB INVESTMENTS | 811-06200 |
| #2 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #3 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #4 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #5 | SCHWAB CAPITAL TRUST | 811-07704 |
| #6 | LAUDUS TRUST | 811-05547 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| Management Investment Record: 5 |
| a. Full Name of the Fund | Schwab Fundamental U.S. Large Company Index ETF |
| b. Series identication number, if any | S000040877 |
| c. LEI | 549300FOX56PTJLI2612 |
| d. Is this the first filing on this form by the Fund? | ☐ 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 | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | Schwab Fundamental U.S. Large Company Index ETF | C000126715 | FNDX |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.05000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.21000000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.01000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.01000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | LEI, if any | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | Goldman Sachs Bank USA | KD3XUN7C6T14HNAYLU02 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | LEI, if any, of person providing indemnification | ||
| #1 | N/A | N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | LEI, if any | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
|---|---|---|---|---|
| #1 | Wells Fargo Funds Management, LLC | 549300HDKZE50HZZOG90 | No | No |
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☒ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 11,520,453.01000000 |
| g. Provide the net income from securities lending activities | 1,008,346.43000000 |
| a. Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☐ N/A |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|
| Investment Advisers Record: 1 | ||||||
| Charles Schwab Investment Management, Inc. | 801-35905 | 000106753 | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | LEI, if any | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|
| Transfer Agents Record: 1 | ||||||
| State Street Bank and Trust Company | 85-05003 | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | Bloomberg L.P. | 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | PricingDirect Inc. | 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | ICE Data Services, Inc. | 13-3668779 Description: Tax ID | MASSACHUSETTS | UNITED STATES OF AMERICA | No |
| #4 | Refinitiv US Holdings Inc. | 549300NF240HXJO7N016 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | LEI, if any | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Charles Schwab Investment Management, Inc. | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Charles Schwab & Co., Inc. | 8-16514 | 000005393 | 549300ZP8XN77GK5BS04 | CALIFORNIA | UNITED STATES OF AMERICA | 0.00000000 |
| #2 | Charles Schwab, Hong Kong, Ltd. | N/A | 000000000 | 00000000000000000000 | HONG KONG | 0.00000000 | |
| #3 | Jane Street Execution Services, LLC | 8-69254 | 000167280 | 549300HXJLXCPDWAH070 | NEW YORK | UNITED STATES OF AMERICA | 80.26000000 |
| #4 | Charles Schwab Singapore Pte. Ltd. | N/A | 000000000 | 00000000000000000000 | SINGAPORE | 0.00000000 | |
| #5 | Charles Schwab, U.K., Limited | N/A | 000000000 | 549300PF2KTM8A12FH91 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | 0.00000000 | |
| #6 | Charles Schwab Australia Pty Limited | N/A | 000000000 | 00000000000000000000 | AUSTRALIA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 10,241.93000000 |
| #2 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 7,736.31000000 |
| #3 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 5,584.65000000 |
| #4 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 12,029.42000000 |
| #5 | BTIG, LLC | 8-65473 | 000122225 | 549300GTG9PL6WO3EC51 | CALIFORNIA | UNITED STATES OF AMERICA | 26,677.66000000 |
| #6 | Sanford C. Bernstein & Co., LLC | 8-52942 | 000104474 | 549300I7JYZHT7D5CO04 | NEW YORK | UNITED STATES OF AMERICA | 5,466.14000000 |
| #7 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | NEW YORK | UNITED STATES OF AMERICA | 7,923.35000000 |
| #8 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 5,517.62000000 |
| #9 | Stuart Frankel & Co., Incorporated | 8-17419 | 000014593 | 254900XE1RBF5OLE0T50 | NEW YORK | UNITED STATES OF AMERICA | 6,436.10000000 |
| #10 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | NEW YORK | UNITED STATES OF AMERICA | 5,623.72000000 |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 140,298.78000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 14,480,070.87000000 |
| #2 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | NEW YORK | UNITED STATES OF AMERICA | 118,245.14000000 |
| #3 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 5,724,204.75000000 |
| #4 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 3,638,724.19000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 25,567,644.95000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 5,354,061,090.71000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. 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? | 500,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #2 | SCHWAB INVESTMENTS | 811-06200 |
| #3 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #4 | SCHWAB CAPITAL TRUST | 811-07704 |
| #5 | LAUDUS TRUST | 811-05547 |
| #6 | THE CHARLES SCHWAB FAMILY OF FUNDS | 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? | 750,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #2 | SCHWAB INVESTMENTS | 811-06200 |
| #3 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #4 | LAUDUS TRUST | 811-05547 |
| #5 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #6 | SCHWAB CAPITAL TRUST | 811-07704 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| Management Investment Record: 6 |
| a. Full Name of the Fund | Schwab Fundamental Emerging Markets Large Company Index ETF |
| b. Series identication number, if any | S000040881 |
| c. LEI | 549300IMHQ7K247G1P16 |
| d. Is this the first filing on this form by the Fund? | ☐ 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 | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | Schwab Fundamental Emerging Markets Large Company Index ETF | C000126719 | FNDE |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | -0.02000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.40000000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.02000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.02000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☐ Yes ☒ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | LEI, if any | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | Goldman Sachs Bank USA | KD3XUN7C6T14HNAYLU02 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | LEI, if any, of person providing indemnification | ||
| #1 | N/A | N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☐ Yes ☒ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | LEI, if any | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
|---|---|---|---|---|
| #1 | Wells Fargo Funds Management, LLC | 549300HDKZE50HZZOG90 | No | No |
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☒ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 810,803.27000000 |
| g. Provide the net income from securities lending activities | 5,939.70000000 |
| a. Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☐ N/A |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|
| Investment Advisers Record: 1 | ||||||
| Charles Schwab Investment Management, Inc. | 801-35905 | 000106753 | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | LEI, if any | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|
| Transfer Agents Record: 1 | ||||||
| State Street Bank and Trust Company | 85-05003 | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | Refinitiv US Holdings Inc. | 549300NF240HXJO7N016 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | Bloomberg L.P. | 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | ICE Data Services, Inc. | 13-3668779 Description: Tax ID | MASSACHUSETTS | UNITED STATES OF AMERICA | No |
| #4 | PricingDirect Inc. | 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | LEI, if any | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | Citibank, National Association (Singapore, SG, Branch) | E57ODZWZ7FF32TWEFA76 | SINGAPORE | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #2 | Citibank, Anonim Sirketi | CWZ8NZDH5SKY12Q4US31 | TURKEY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #3 | Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) | E57ODZWZ7FF32TWEFA76 | BRAZIL | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #4 | HSBC Saudi Arabia, a Saudi Closed Joint Stock Company | 558600MV09XWUB38H245 | SAUDI ARABIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #5 | BNP Paribas Securities Services (Athens, Attica, GR, Branch) | 549300WCGB70D06XZS54 | GREECE | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #6 | HSBC Bank Middle East Limited (Kuwait City, Al Asimah, KW, Branch) | 549300F99IL9YJDWH369 | KUWAIT | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #7 | Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex | 2SFFM4FUIE05S37WFU55 | MEXICO | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #8 | Standard Chartered Bank (Hong Kong) Limited | X5AV1MBDXGRPX5UGMX13 | HONG KONG | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #9 | UniCredit Bank Hungary Zrt. | Y28RT6GGYJ696PMW8T44 | HUNGARY | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #10 | HSBC Bank Middle East Limited | 549300F99IL9YJDWH369 | UNITED ARAB EMIRATES | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #11 | Joint Stock Company Commercial Bank Citibank | CHSQDSVI1UI96Y2SW097 | RUSSIAN FEDERATION | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #12 | Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) | 7LTWFZYICNSX8D621K86 | PHILIPPINES | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #13 | Citibank, National Association (Cairo, Cairo, EG, Branch) | E57ODZWZ7FF32TWEFA76 | EGYPT | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #14 | State Street Bank and Trust Company (London, GB, Branch) | 0000000000 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #15 | The Standard Bank of South Africa Limited | QFC8ZCW3Q5PRXU1XTM60 | SOUTH AFRICA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #16 | Standard Chartered Bank (Thai) Public Company Limited | 549300O1LQYCQ7G1IM57 | THAILAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #17 | Cititrust Colombia S A Sociedad Fiduciaria | 549300242J3IJCOSGI49 | COLOMBIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #18 | The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch) | 2HI3YI5320L3RW6NJ957 | KOREA (THE REPUBLIC OF) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #19 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| #20 | Deutsche Bank Aktiengesellschaft (Taipei City, TW, Branch) | 25490016G0WR60ANOK04 | TAIWAN (PROVINCE OF CHINA) | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #21 | HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch) | 549300F99IL9YJDWH369 | QATAR | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #22 | Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) | 7LTWFZYICNSX8D621K86 | INDONESIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #23 | Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch) | 7LTWFZYICNSX8D621K86 | INDIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #24 | Ceskoslovenska obchodni banka, a. s. | Q5BP2UEQ48R75BOTCB92 | CZECHIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #25 | Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) | 7LTWFZYICNSX8D621K86 | NETHERLANDS | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #26 | The Saudi British Bank | 558600TQS0WENZUC5190 | SAUDI ARABIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #27 | HSBC Bank (China) Company Limited | 2CZOJRADNJXBLT55G526 | CHINA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #28 | Euroclear Bank | 549300OZ46BRLZ8Y6F65 | BELGIUM | No | Yes | Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7) | |
| #29 | Bank Handlowy w Warszawie Spolka Akcyjna | XLEZHWWOI4HFQDGL4793 | POLAND | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #30 | Standard Chartered Bank Malaysia Berhad | 549300JTJBG2QBI8KD48 | MALAYSIA | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #31 | The Hongkong and Shanghai Banking Corporation Limited | 2HI3YI5320L3RW6NJ957 | HONG KONG | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) | |
| #32 | Itau CorpBanca | 549300DDPTTIZ06NIV06 | CHILE | No | Yes | Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Charles Schwab Investment Management, Inc. | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Charles Schwab, Hong Kong, Ltd. | N/A | 000000000 | 00000000000000000000 | HONG KONG | 0.00000000 | |
| #2 | Charles Schwab Australia Pty Limited | N/A | 000000000 | 00000000000000000000 | AUSTRALIA | 0.00000000 | |
| #3 | Jane Street Execution Services, LLC | 8-69254 | 000167280 | 549300HXJLXCPDWAH070 | NEW YORK | UNITED STATES OF AMERICA | 0.00000000 |
| #4 | Charles Schwab, U.K., Limited | N/A | 000000000 | 549300PF2KTM8A12FH91 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | 0.00000000 | |
| #5 | Charles Schwab Singapore Pte. Ltd. | N/A | 000000000 | 00000000000000000000 | SINGAPORE | 0.00000000 | |
| #6 | Charles Schwab & Co., Inc. | 8-16514 | 000005393 | 549300ZP8XN77GK5BS04 | CALIFORNIA | UNITED STATES OF AMERICA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | NEW YORK | UNITED STATES OF AMERICA | 94,932.93000000 |
| #2 | Scotia Capital (USA) Inc. | 8-3716 | 000002739 | 549300BLWPABP1VNME36 | NEW YORK | UNITED STATES OF AMERICA | 47,833.97000000 |
| #3 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 28,124.71000000 |
| #4 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 128,181.14000000 |
| #5 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | NEW YORK | UNITED STATES OF AMERICA | 186,139.10000000 |
| #6 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 27,470.91000000 |
| #7 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | NEW YORK | UNITED STATES OF AMERICA | 23,871.95000000 |
| #8 | CLSA Americas, LLC | 8-69166 | 000165533 | 213800M2DXATWY7JMS07 | NEW YORK | UNITED STATES OF AMERICA | 2,425.29000000 |
| #9 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 403,458.44000000 |
| #10 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | NEW YORK | UNITED STATES OF AMERICA | 16,677.54000000 |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 963,145.58000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 189,160.95000000 |
| #2 | Scotia Capital (USA) Inc. | 8-3716 | 000002739 | 549300BLWPABP1VNME36 | NEW YORK | UNITED STATES OF AMERICA | 6,411,960.68000000 |
| #3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | NEW YORK | UNITED STATES OF AMERICA | 8,753,296.41000000 |
| #4 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 98,630,052.15000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 114,910,819.15000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 2,544,302,920.45000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. 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? | 500,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #2 | SCHWAB CAPITAL TRUST | 811-07704 |
| #3 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #4 | LAUDUS TRUST | 811-05547 |
| #5 | SCHWAB INVESTMENTS | 811-06200 |
| #6 | SCHWAB ANNUITY PORTFOLIOS | 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? | 750,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB CAPITAL TRUST | 811-07704 |
| #2 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #3 | LAUDUS TRUST | 811-05547 |
| #4 | SCHWAB INVESTMENTS | 811-06200 |
| #5 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #6 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| Management Investment Record: 7 |
| a. Full Name of the Fund | Schwab Fundamental U.S. Small Company Index ETF |
| b. Series identication number, if any | S000040878 |
| c. LEI | 549300LLI8QKGVKQUL56 |
| d. Is this the first filing on this form by the Fund? | ☐ 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 | Full name of Class | Class identification number, if any | Ticker symbol, if any |
|---|---|---|---|
| #1 | Schwab Fundamental U.S. Small Company Index ETF | C000126716 | FNDA |
| Instructions: 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| a. Indicate if the Fund is any one of the types listed. Check all that apply. |
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
☒ i. Exchange-Traded Fund ☐ ii. Exchange-Traded Managed Fund ☒ b. Index Fund ☐ c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark ☐ d. Interval Fund ☐ e. Fund of Funds ☐ f. Master-Feeder Fund ☐ g. Money Market Fund ☐ h. Target Date Fund ☐ i. Underlying fund to a variable annuity or variable life insurance contract ☐ N/A |
| i. Is the index whose performance the Fund tracks, constructed: | |
| 1. By an affiliated person of the fund? | ☐ Yes ☒ No |
| 2. Exclusively for the fund? | ☐ Yes ☒ No |
| ii. Provide the annualized difference between the Fund's total return during the reporting period and the index's return during the reporting period (i.e., the Fund's total return less the index's return): | |
| 1. Before Fund fees and expenses: | 0.02000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | -0.21000000 |
| iii. Provide the annualized standard deviation of the daily difference between the Fund's total return and the index's return during the reporting period: | |
| 1. Before Fund fees and expenses: | 0.01000000 |
| 2. After Fund fees and expenses (i.e., net asset value): | 0.01000000 |
| a. Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? | ☐ Yes ☒ No |
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? | ☐ Yes ☒ No |
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? | ☒ Yes ☐ No |
| b. Did the Fund lend any of its securities during the reporting period? | ☒ Yes ☐ No |
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? | ☒ Yes ☐ No |
| 2. The Fund was otherwise adversely impacted? | ☐ Yes ☒ No |
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record | Full name of securities lending agent | LEI, if any | Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? | Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
|---|---|---|---|---|
| #1 | Goldman Sachs Bank USA | KD3XUN7C6T14HNAYLU02 | No | Yes |
| If the entity providing the indemnification is not the securities lending agent, provide the following information: | ||||
| Idemnity Providers Record | Name of person providing indemnification | LEI, if any, of person providing indemnification | ||
| #1 | N/A | N/A | ||
| Did the Fund exercise its indemnification rights during the reporting period? | ☒ Yes ☐ No | |||
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record | Full name of cash collateral manager | LEI, if any | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? | Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
|---|---|---|---|---|
| #1 | Wells Fargo Funds Management, LLC | 549300HDKZE50HZZOG90 | No | No |
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): | ☒
i. Revenue sharing split
☐ ii. Non-revenue sharing split (other than administrative fee) ☐ iii. Administrative fee ☒ iv. Cash collateral reinvestment fee ☐ v. Indemnification fee ☐ vi. Other ☐ N/A |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 26,244,454.05000000 |
| g. Provide the net income from securities lending activities | 1,152,601.19000000 |
| a. Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) | ☐
a. Rule 10f-3 (17 CFR 270.10f-3)
☐ b. Rule 12d1-1 (17 CFR 270.12d1-1) ☐ c. Rule 15a-4 (17 CFR 270.15a-4) ☐ d. Rule 17a-6 (17 CFR 270.17a-6) ☒ e. Rule 17a-7 (17 CFR 270.17a-7) ☐ f. Rule 17a-8 (17 CFR 270.17a-8) ☐ g. Rule 17e-1 (17 CFR 270.17e-1) ☐ h. Rule 22d-1 (17 CFR 270.22d-1) ☐ i. Rule 23c-1 (17 CFR 270.23c-1) ☒ j. Rule 32a-4 (17 CFR 270.32a-4) ☐ N/A |
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? | ☐ Yes ☒ No |
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? | ☐ Yes ☒ No |
| c. Are the fees waived subject to recoupment? | ☐ Yes ☒ No |
| d. Were any expenses previously waived recouped during the period? | ☐ Yes ☒ No |
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Was the investment adviser hired during the reporting period? |
|---|---|---|---|---|---|---|
| Investment Advisers Record: 1 | ||||||
| Charles Schwab Investment Management, Inc. | 801-35905 | 000106753 | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | No |
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| c. For each sub-adviser to the Fund, provide the information requested: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? | Was the sub-adviser hired during the reporting period? | — | — | — | — | — | — | — | — |
|---|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| Full name |
SEC file number ( e.g., 801- ) | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Termination date | — | — | — | — | — | — | — |
|---|
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Full name |
SEC file number ( e.g., 801- ) | LEI, if any | State, if applicable | Foreign country, if applicable | Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? | Is the transfer agent a sub-transfer agent? |
|---|---|---|---|---|---|---|
| Transfer Agents Record: 1 | ||||||
| State Street Bank and Trust Company | 85-05003 | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a transfer agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
|---|---|---|---|---|---|
| #1 | Bloomberg L.P. | 549300B56MD0ZC402L06 | NEW YORK | UNITED STATES OF AMERICA | No |
| #2 | PricingDirect Inc. | 549300WIC0TOJ7N7GD54 | NEW YORK | UNITED STATES OF AMERICA | No |
| #3 | Refinitiv US Holdings Inc. | 549300NF240HXJO7N016 | NEW YORK | UNITED STATES OF AMERICA | No |
| #4 | ICE Data Services, Inc. | 13-3668779 Description: Tax ID | MASSACHUSETTS | UNITED STATES OF AMERICA | No |
| b. Was a pricing service hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record | Full name | LEI, if any | State, if applicable | Foreign country, if applicable | Is the custodian an affiliated person of the Fund or its investment adviser(s)? | Is the custodian a sub-custodian? |
Type of custody (describe if "Other") |
|---|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No | Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) |
| b. Has a custodian been hired or terminated during the reporting period?* | ☐ Yes ☒ No |
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder Servicing Agents Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? | Is the shareholder servicing agent a sub-shareholder servicing agent? |
|---|---|---|---|---|---|---|
| #1 | State Street Bank and Trust Company | 571474TGEMMWANRLN572 | MASSACHUSETTS | UNITED STATES OF AMERICA | No | No |
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record | Full name | LEI, if any, or provide and describe other identifying number | State, if applicable | Foreign country, if applicable | Is the administrator an affiliated person of the Fund or its investment adviser(s)? | Is the administrator a sub-administrator? |
|---|---|---|---|---|---|---|
| #1 | Charles Schwab Investment Management, Inc. | EVQ6EP3QESDF386W4D54 | CALIFORNIA | UNITED STATES OF AMERICA | Yes | No |
| b. Has a third-party administrator been hired or terminated during the reporting period? | ☐ Yes ☒ No |
| a. Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total commissions paid to the affiliated broker-dealer for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Charles Schwab, U.K., Limited | N/A | 000000000 | 549300PF2KTM8A12FH91 | UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND | 0.00000000 | |
| #2 | Charles Schwab & Co., Inc. | 8-16514 | 000005393 | 549300ZP8XN77GK5BS04 | CALIFORNIA | UNITED STATES OF AMERICA | 0.00000000 |
| #3 | Jane Street Execution Services, LLC | 8-69254 | 000167280 | 549300HXJLXCPDWAH070 | NEW YORK | UNITED STATES OF AMERICA | 622.63000000 |
| #4 | Charles Schwab, Hong Kong, Ltd. | N/A | 000000000 | 00000000000000000000 | HONG KONG | 0.00000000 | |
| #5 | Charles Schwab Singapore Pte. Ltd. | N/A | 000000000 | 00000000000000000000 | SINGAPORE | 0.00000000 | |
| #6 | Charles Schwab Australia Pty Limited | N/A | 000000000 | 00000000000000000000 | AUSTRALIA | 0.00000000 |
| Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Gross commissions paid by the Fund for the reporting period |
|---|---|---|---|---|---|---|---|
| #1 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 21,469.05000000 |
| #2 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | NEW YORK | UNITED STATES OF AMERICA | 25,448.51000000 |
| #3 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 41,323.35000000 |
| #4 | BTIG, LLC | 8-65473 | 000122225 | 549300GTG9PL6WO3EC51 | CALIFORNIA | UNITED STATES OF AMERICA | 21,650.31000000 |
| #5 | J.P. Morgan Securities LLC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | NEW YORK | UNITED STATES OF AMERICA | 217,254.88000000 |
| #6 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | NEW YORK | UNITED STATES OF AMERICA | 36,639.77000000 |
| #7 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | NEW YORK | UNITED STATES OF AMERICA | 70,699.09000000 |
| #8 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | NORTH CAROLINA | UNITED STATES OF AMERICA | 37,933.22000000 |
| #9 | Merrill Lynch, Pierce, Fenner & Smith Incorporated | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | NEW YORK | UNITED STATES OF AMERICA | 81,377.11000000 |
| #10 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | NEW YORK | UNITED STATES OF AMERICA | 12,774.54000000 |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 654,667.85000000 |
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record | Full name | SEC file number | CRD number | LEI, if any | State, if applicable | Foreign country, if applicable | Total value of purchases and sales (excluding maturing securities) with Fund |
|---|---|---|---|---|---|---|---|
| #1 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | NEW YORK | UNITED STATES OF AMERICA | 416,186.65000000 |
| #2 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | NEW YORK | UNITED STATES OF AMERICA | 18,837,140.65000000 |
| #3 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | NEW YORK | UNITED STATES OF AMERICA | 6,559,568.38000000 |
| #4 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | NEW YORK | UNITED STATES OF AMERICA | 2,385,070.03000000 |
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 28,900,515.71000000 |
| a. During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? | ☐ Yes ☒ No |
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 3,470,721,874.02000000 |
| b. Provide the money market fund's daily average net assets during the reporting period |
| For open-end management investment companies, respond to the following: |
| a. Does the Fund have available a line of credit? | ☒ Yes ☐ No |
| i. 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? | 500,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #2 | SCHWAB INVESTMENTS | 811-06200 |
| #3 | LAUDUS TRUST | 811-05547 |
| #4 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #5 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #6 | SCHWAB CAPITAL TRUST | 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? | 750,000,000.00000000 |
| iii. With which institution(s) is the line of credit? |
|
| 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 | Name of fund | SEC File number(e.g., 811-) |
|---|---|---|
| #1 | SCHWAB ANNUITY PORTFOLIOS | 811-08314 |
| #2 | LAUDUS TRUST | 811-05547 |
| #3 | SCHWAB CAPITAL TRUST | 811-07704 |
| #4 | SCHWAB STRATEGIC TRUST | 811-22311 |
| #5 | THE CHARLES SCHWAB FAMILY OF FUNDS | 811-05954 |
| #6 | SCHWAB INVESTMENTS | 811-06200 |
| v. Did the Fund draw on the line of credit this period? | ☐ Yes ☒ No |
| b. Did the Fund engage in interfund lending? | ☐ Yes ☒ No |
| c. Did the Fund engage in interfund borrowing? | ☐ Yes ☒ No |
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? | ☐ Yes ☐ No |
| Exchange Record: 1 |
| Fund Name | Schwab Fundamental International Small Company Index ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | FNDC |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | LEI, if any | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | 0.00000000 | 0.00000000 |
| #2 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #3 | Citadel Securities LLC | 8-53574 | 000116797 | 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #4 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #5 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #6 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #7 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | 0.00000000 | 0.00000000 |
| #8 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #9 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #10 | RBC Capital Markets, LLC | 8-45411 | 000031194 | 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #11 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | 34,237,089.70000000 | 16,446,685.50000000 |
| #12 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #13 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #14 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | 87,934,214.30000000 | 0.00000000 |
| #15 | Virtu Financial Capital Markets LLC | 8-51262 | 000045986 | 5493006FX0HRYU3G2R47 | 0.00000000 | 0.00000000 |
| #16 | Mizuho Securities USA LLC | 8-37710 | 000019647 | 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #17 | ABN AMRO Clearing Chicago LLC | 8-34354 | 000014020 | 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #18 | HRT Financial LLC | 8-68430 | 000152144 | 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #19 | Cowen Execution Services LLC | 8-46838 | 000035693 | 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #20 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | 549300PMHS66E71I2D34 | 0.00000000 | 0.00000000 |
| #21 | Virtu Financial BD LLC | 8-68015 | 000148390 | 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #22 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #23 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | 74,951,373.60000000 | 0.00000000 |
| #24 | BNY Mellon Capital Markets, LLC | 8-35255 | 000017454 | VJW2DOOHGDT6PR0ZRO63 | 0.00000000 | 0.00000000 |
| #25 | National Financial Services LLC | 8-26740 | 000013041 | 549300JRHF1MHHWUAW04 | 0.00000000 | 0.00000000 |
| #26 | Timber Hill LLC | 8-28569 | 000033319 | 549300ENR8YMEK2RVE28 | 0.00000000 | 0.00000000 |
| #27 | State Street Global Advisors Funds Distributors, LLC | 8-44744 | 000030107 | 54ZMQ1M7YQYKOZC8E043 | 0.00000000 | 0.00000000 |
| #28 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | 72,057,058.10000000 | 12,505,323.20000000 |
| #29 | Interactive Brokers LLC | 8-47257 | 000036418 | 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #30 | Virtu ITG LLC | 8-44218 | 000029299 | 549300S41SMIODVIT266 | 0.00000000 | 0.00000000 |
| #31 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☐ Yes ☒ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100,000.00000000 |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 7.78000000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 2.17379144
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 92.22000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 2.17379144
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 4.43500000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 4.08000612
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.56500000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 4.08000612
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 2 |
| Fund Name | Schwab U.S. REIT ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | SCHH |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | LEI, if any | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #2 | National Financial Services LLC | 8-26740 | 000013041 | 549300JRHF1MHHWUAW04 | 0.00000000 | 0.00000000 |
| #3 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | 0.00000000 | 0.00000000 |
| #4 | Virtu Financial Capital Markets LLC | 8-51262 | 000045986 | 5493006FX0HRYU3G2R47 | 0.00000000 | 0.00000000 |
| #5 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | 0.00000000 | 2,242,421.70000000 |
| #6 | HRT Financial LLC | 8-68430 | 000152144 | 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #7 | ABN AMRO Clearing Chicago LLC | 8-34354 | 000014020 | 549300U16G4LU3V6C598 | 110,714,981.10000000 | 0.00000000 |
| #8 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #9 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #10 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #11 | Cowen Execution Services LLC | 8-46838 | 000035693 | 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #12 | Timber Hill LLC | 8-28569 | 000033319 | 549300ENR8YMEK2RVE28 | 0.00000000 | 0.00000000 |
| #13 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #14 | Virtu ITG LLC | 8-44218 | 000029299 | 549300S41SMIODVIT266 | 0.00000000 | 0.00000000 |
| #15 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #16 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #17 | Mizuho Securities USA LLC | 8-37710 | 000019647 | 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #18 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | 133,417,763.00000000 | 4,681,338.10000000 |
| #19 | BNY Mellon Capital Markets, LLC | 8-35255 | 000017454 | VJW2DOOHGDT6PR0ZRO63 | 0.00000000 | 0.00000000 |
| #20 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | 248,593,880.50000000 | 224,837,134.20000000 |
| #21 | State Street Global Advisors Funds Distributors, LLC | 8-44744 | 000030107 | 54ZMQ1M7YQYKOZC8E043 | 0.00000000 | 0.00000000 |
| #22 | RBC Capital Markets, LLC | 8-45411 | 000031194 | 549300LCO2FLSSVFFR64 | 87,323,871.15000000 | 8,668,675.80000000 |
| #23 | Citadel Securities LLC | 8-53574 | 000116797 | 12UUJYTN7D3SW8KCSG25 | 224,224,866.40000000 | 126,851,613.20000000 |
| #24 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #25 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #26 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | 549300PMHS66E71I2D34 | 443,970,777.85000000 | 221,673,417.10000000 |
| #27 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #28 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #29 | Interactive Brokers LLC | 8-47257 | 000036418 | 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #30 | Virtu Financial BD LLC | 8-68015 | 000148390 | 54930088MP91YZQJT494 | 101,378,775.25000000 | 25,335,233.30000000 |
| #31 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | 84,505,457.60000000 | 58,122,793.70000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☐ Yes ☒ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50,000.00000000 |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 0.33554054
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.37884012
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.66445945
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.37884012
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 0.93640000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 2.22248138
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 99.06360000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 2.22248138
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 250.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 3 |
| Fund Name | Schwab Fundamental International Large Company Index ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | FNDF |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | LEI, if any | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | National Financial Services LLC | 8-26740 | 000013041 | 549300JRHF1MHHWUAW04 | 0.00000000 | 0.00000000 |
| #2 | State Street Global Advisors Funds Distributors, LLC | 8-44744 | 000030107 | 54ZMQ1M7YQYKOZC8E043 | 0.00000000 | 0.00000000 |
| #3 | BNY Mellon Capital Markets, LLC | 8-35255 | 000017454 | VJW2DOOHGDT6PR0ZRO63 | 0.00000000 | 0.00000000 |
| #4 | Virtu ITG LLC | 8-44218 | 000029299 | 549300S41SMIODVIT266 | 0.00000000 | 0.00000000 |
| #5 | Virtu Financial BD LLC | 8-68015 | 000148390 | 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #6 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #7 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #8 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | 204,323,936.30000000 | 0.00000000 |
| #9 | Mizuho Securities USA LLC | 8-37710 | 000019647 | 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #10 | HRT Financial LLC | 8-68430 | 000152144 | 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #11 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #12 | RBC Capital Markets, LLC | 8-45411 | 000031194 | 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #13 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #14 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #15 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | 0.00000000 | 0.00000000 |
| #16 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #17 | Cowen Execution Services LLC | 8-46838 | 000035693 | 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #18 | Citadel Securities LLC | 8-53574 | 000116797 | 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #19 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | 86,518,357.50000000 | 43,296,949.50000000 |
| #20 | Virtu Financial Capital Markets LLC | 8-51262 | 000045986 | 5493006FX0HRYU3G2R47 | 0.00000000 | 0.00000000 |
| #21 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #22 | Interactive Brokers LLC | 8-47257 | 000036418 | 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #23 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | 549300PMHS66E71I2D34 | 0.00000000 | 0.00000000 |
| #24 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | 343,112,908.10000000 | 0.00000000 |
| #25 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | 156,890,440.40000000 | 0.00000000 |
| #26 | Timber Hill LLC | 8-28569 | 000033319 | 549300ENR8YMEK2RVE28 | 0.00000000 | 0.00000000 |
| #27 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #28 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #29 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #30 | ABN AMRO Clearing Chicago LLC | 8-34354 | 000014020 | 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #31 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☐ Yes ☒ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100,000.00000000 |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 8.03230769
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 1.53097173
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 91.96769230
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 1.53097173
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 3.62000000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.38000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 10,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 4 |
| Fund Name | Schwab Fundamental U.S. Small Company Index ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | FNDA |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | LEI, if any | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #2 | Cowen Execution Services LLC | 8-46838 | 000035693 | 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #3 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #4 | Interactive Brokers LLC | 8-47257 | 000036418 | 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #5 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #6 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | 230,354,270.00000000 | 85,674,975.80000000 |
| #7 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #8 | Virtu Financial BD LLC | 8-68015 | 000148390 | 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #9 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | 0.00000000 | 0.00000000 |
| #10 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | 56,390,712.00000000 | 56,223,171.00000000 |
| #11 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #12 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | 549300PMHS66E71I2D34 | 467,981,426.60000000 | 253,689,695.70000000 |
| #13 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #14 | Timber Hill LLC | 8-28569 | 000033319 | 549300ENR8YMEK2RVE28 | 0.00000000 | 0.00000000 |
| #15 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | 47,508,341.25000000 | 0.00000000 |
| #16 | State Street Global Advisors Funds Distributors, LLC | 8-44744 | 000030107 | 54ZMQ1M7YQYKOZC8E043 | 0.00000000 | 0.00000000 |
| #17 | ABN AMRO Clearing Chicago LLC | 8-34354 | 000014020 | 549300U16G4LU3V6C598 | 0.00000000 | 1,868,528.45000000 |
| #18 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #19 | BNY Mellon Capital Markets, LLC | 8-35255 | 000017454 | VJW2DOOHGDT6PR0ZRO63 | 0.00000000 | 0.00000000 |
| #20 | Citadel Securities LLC | 8-53574 | 000116797 | 12UUJYTN7D3SW8KCSG25 | 213,710,523.70000000 | 282,283,921.80000000 |
| #21 | Mizuho Securities USA LLC | 8-37710 | 000019647 | 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #22 | Virtu Financial Capital Markets LLC | 8-51262 | 000045986 | 5493006FX0HRYU3G2R47 | 0.00000000 | 0.00000000 |
| #23 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #24 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #25 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #26 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #27 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #28 | Virtu ITG LLC | 8-44218 | 000029299 | 549300S41SMIODVIT266 | 0.00000000 | 0.00000000 |
| #29 | RBC Capital Markets, LLC | 8-45411 | 000031194 | 549300LCO2FLSSVFFR64 | 25,073,118.40000000 | 5,324,002.20000000 |
| #30 | HRT Financial LLC | 8-68430 | 000152144 | 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #31 | National Financial Services LLC | 8-26740 | 000013041 | 549300JRHF1MHHWUAW04 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50,000.00000000 |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 1.67877005
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.96636559
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.32122994
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.96636559
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 1.63869565
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.18735732
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 98.36130434
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.18735732
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 5 |
| Fund Name | Schwab Fundamental U.S. Large Company Index ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | FNDX |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | LEI, if any | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | BNY Mellon Capital Markets, LLC | 8-35255 | 000017454 | VJW2DOOHGDT6PR0ZRO63 | 0.00000000 | 0.00000000 |
| #2 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #3 | HRT Financial LLC | 8-68430 | 000152144 | 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #4 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | 549300PMHS66E71I2D34 | 342,676,518.00000000 | 135,439,532.90000000 |
| #5 | Virtu ITG LLC | 8-44218 | 000029299 | 549300S41SMIODVIT266 | 0.00000000 | 0.00000000 |
| #6 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | 78,122,709.60000000 | 77,713,213.50000000 |
| #7 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #8 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #9 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | 0.00000000 | 0.00000000 |
| #10 | Mizuho Securities USA LLC | 8-37710 | 000019647 | 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #11 | Interactive Brokers LLC | 8-47257 | 000036418 | 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #12 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #13 | Cowen Execution Services LLC | 8-46838 | 000035693 | 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #14 | Virtu Financial Capital Markets LLC | 8-51262 | 000045986 | 5493006FX0HRYU3G2R47 | 0.00000000 | 0.00000000 |
| #15 | Timber Hill LLC | 8-28569 | 000033319 | 549300ENR8YMEK2RVE28 | 0.00000000 | 0.00000000 |
| #16 | Citadel Securities LLC | 8-53574 | 000116797 | 12UUJYTN7D3SW8KCSG25 | 428,450,744.40000000 | 26,571,551.65000000 |
| #17 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #18 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | 452,913,310.35000000 | 151,738,728.90000000 |
| #19 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #20 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #21 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | 64,168,107.30000000 | 64,734,484.65000000 |
| #22 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #23 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | 120,178,518.55000000 | 27,253,030.25000000 |
| #24 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #25 | National Financial Services LLC | 8-26740 | 000013041 | 549300JRHF1MHHWUAW04 | 0.00000000 | 0.00000000 |
| #26 | Virtu Financial BD LLC | 8-68015 | 000148390 | 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #27 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #28 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #29 | ABN AMRO Clearing Chicago LLC | 8-34354 | 000014020 | 549300U16G4LU3V6C598 | 0.00000000 | 3,806,125.80000000 |
| #30 | State Street Global Advisors Funds Distributors, LLC | 8-44744 | 000030107 | 54ZMQ1M7YQYKOZC8E043 | 0.00000000 | 0.00000000 |
| #31 | RBC Capital Markets, LLC | 8-45411 | 000031194 | 549300LCO2FLSSVFFR64 | 57,151,930.80000000 | 15,224,503.20000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50,000.00000000 |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 2.09033018
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.11680738
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 97.90966981
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.11680738
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 2.14325581
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.44847742
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 97.85674418
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.44847742
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 500.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 6 |
| Fund Name | Schwab Fundamental U.S. Broad Market Index ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | FNDB |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | LEI, if any | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | 5,948,199.60000000 | 8,035,847.85000000 |
| #2 | Virtu ITG LLC | 8-44218 | 000029299 | 549300S41SMIODVIT266 | 0.00000000 | 0.00000000 |
| #3 | BNY Mellon Capital Markets, LLC | 8-35255 | 000017454 | VJW2DOOHGDT6PR0ZRO63 | 0.00000000 | 0.00000000 |
| #4 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #5 | Citadel Securities LLC | 8-53574 | 000116797 | 12UUJYTN7D3SW8KCSG25 | 1,874,349.65000000 | 7,750,005.85000000 |
| #6 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #7 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #8 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | 549300PMHS66E71I2D34 | 9,871,073.30000000 | 14,132,874.30000000 |
| #9 | Interactive Brokers LLC | 8-47257 | 000036418 | 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #10 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | 0.00000000 | 0.00000000 |
| #11 | National Financial Services LLC | 8-26740 | 000013041 | 549300JRHF1MHHWUAW04 | 0.00000000 | 0.00000000 |
| #12 | Virtu Financial BD LLC | 8-68015 | 000148390 | 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #13 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | 0.00000000 | 0.00000000 |
| #14 | Mizuho Securities USA LLC | 8-37710 | 000019647 | 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| #15 | State Street Global Advisors Funds Distributors, LLC | 8-44744 | 000030107 | 54ZMQ1M7YQYKOZC8E043 | 0.00000000 | 0.00000000 |
| #16 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #17 | RBC Capital Markets, LLC | 8-45411 | 000031194 | 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #18 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #19 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #20 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #21 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #22 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | 0.00000000 | 0.00000000 |
| #23 | Virtu Financial Capital Markets LLC | 8-51262 | 000045986 | 5493006FX0HRYU3G2R47 | 0.00000000 | 0.00000000 |
| #24 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #25 | Timber Hill LLC | 8-28569 | 000033319 | 549300ENR8YMEK2RVE28 | 0.00000000 | 0.00000000 |
| #26 | Cowen Execution Services LLC | 8-46838 | 000035693 | 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #27 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #28 | ABN AMRO Clearing Chicago LLC | 8-34354 | 000014020 | 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #29 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | 0.00000000 | 0.00000000 |
| #30 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #31 | HRT Financial LLC | 8-68430 | 000152144 | 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☐ Yes ☒ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 50,000.00000000 |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 3.34600000
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 0.06387487
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.65400000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.06387487
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 3.21875000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.90244805
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 96.78125000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.90244805
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 1,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| Exchange Record: 7 |
| Fund Name | Schwab Fundamental Emerging Markets Large Company Index ETF |
| Security Exchange Record | Provide the name of the national securities exchange on which the Fund’s shares are listed | Provide the Fund's ticker symbol |
|---|---|---|
| #1 | NYSE ARCA | FNDE |
| Instructions. The term "authorized participant" means a broker-dealer that is also a member of a clearing agency registered with the Commission, and which has a written agreement with the Exchange-Traded Fund or Exchange-Traded Managed Fund or one of its designated service providers that allows it place orders to purchase or redeem creation units of the Exchange-Traded Fund or Exchange-Traded Managed Fund. |
| a. For each authorized participant of the Fund, provide the following information: |
| Authorized Participants Record | Full Name | SEC file number | CRD number | LEI, if any | The dollar value of the Fund shares the authorized participant purchased from the Fund during the reporting period | The dollar value of the Fund shares the authorized participant redeemed during the reporting period |
|---|---|---|---|---|---|---|
| #1 | Merrill Lynch Professional Clearing Corp. | 8-33359 | 000016139 | 549300PMHS66E71I2D34 | 0.00000000 | 0.00000000 |
| #2 | Virtu Financial Capital Markets LLC | 8-51262 | 000045986 | 5493006FX0HRYU3G2R47 | 0.00000000 | 0.00000000 |
| #3 | RBC Capital Markets, LLC | 8-45411 | 000031194 | 549300LCO2FLSSVFFR64 | 0.00000000 | 0.00000000 |
| #4 | Wells Fargo Securities, LLC | 8-65876 | 000126292 | VYVVCKR63DVZZN70PB21 | 0.00000000 | 0.00000000 |
| #5 | SG Americas Securities, LLC | 8-66125 | 000128351 | 549300F35UE0BOM1WJ55 | 0.00000000 | 0.00000000 |
| #6 | Macquarie Capital (USA) Inc. | 8-47198 | 000036368 | 549300670K07JRB5UQ40 | 0.00000000 | 0.00000000 |
| #7 | J.P. Morgan Securities LLC/JPMC | 8-35008 | 000000079 | ZBUT11V806EZRVTWT807 | 84,615,627.30000000 | 0.00000000 |
| #8 | State Street Global Advisors Funds Distributors, LLC | 8-44744 | 000030107 | 54ZMQ1M7YQYKOZC8E043 | 0.00000000 | 0.00000000 |
| #9 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 8-7221 | 000007691 | 8NAV47T0Y26Q87Y0QP81 | 183,860,859.60000000 | 185,107,560.00000000 |
| #10 | Citigroup Global Markets Inc. | 8-8177 | 000007059 | MBNUM2BPBDO7JBLYG310 | 0.00000000 | 0.00000000 |
| #11 | BNP Paribas Securities Corp. | 8-32682 | 000015794 | RCNB6OTYUAMMP879YW96 | 0.00000000 | 0.00000000 |
| #12 | ABN AMRO Clearing Chicago LLC | 8-34354 | 000014020 | 549300U16G4LU3V6C598 | 0.00000000 | 0.00000000 |
| #13 | Cantor Fitzgerald & Co. | 8-201 | 000000134 | 5493004J7H4GCPG6OB62 | 0.00000000 | 0.00000000 |
| #14 | Virtu ITG LLC | 8-44218 | 000029299 | 549300S41SMIODVIT266 | 0.00000000 | 0.00000000 |
| #15 | National Financial Services LLC | 8-26740 | 000013041 | 549300JRHF1MHHWUAW04 | 0.00000000 | 0.00000000 |
| #16 | BNY Mellon Capital Markets, LLC | 8-35255 | 000017454 | VJW2DOOHGDT6PR0ZRO63 | 0.00000000 | 0.00000000 |
| #17 | Barclays Capital Inc. | 8-41342 | 000019714 | AC28XWWI3WIBK2824319 | 0.00000000 | 0.00000000 |
| #18 | Citadel Securities LLC | 8-53574 | 000116797 | 12UUJYTN7D3SW8KCSG25 | 0.00000000 | 0.00000000 |
| #19 | Timber Hill LLC | 8-28569 | 000033319 | 549300ENR8YMEK2RVE28 | 0.00000000 | 0.00000000 |
| #20 | Virtu Financial BD LLC | 8-68015 | 000148390 | 54930088MP91YZQJT494 | 0.00000000 | 0.00000000 |
| #21 | UBS Securities LLC | 8-22651 | 000007654 | T6FIZBDPKLYJKFCRVK44 | 0.00000000 | 0.00000000 |
| #22 | Interactive Brokers LLC | 8-47257 | 000036418 | 50OBSE5T5521O6SMZR28 | 0.00000000 | 0.00000000 |
| #23 | Goldman Sachs & Co. LLC | 8-129 | 000000361 | FOR8UP27PHTHYVLBNG30 | 50,395,885.20000000 | 0.00000000 |
| #24 | Credit Suisse Securities (USA) LLC | 8-422 | 000000816 | 1V8Y6QCX6YMJ2OELII46 | 307,892,191.60000000 | 0.00000000 |
| #25 | Morgan Stanley & Co. LLC | 8-15869 | 000008209 | 9R7GPTSO7KV3UQJZQ078 | 56,227,363.10000000 | 0.00000000 |
| #26 | Virtu Americas LLC | 8-68193 | 000149823 | 549300RA02N3BNSWBV74 | 0.00000000 | 0.00000000 |
| #27 | Jefferies LLC | 8-15074 | 000002347 | 58PU97L1C0WSRCWADL48 | 0.00000000 | 0.00000000 |
| #28 | HRT Financial LLC | 8-68430 | 000152144 | 21380037YFKONTT23854 | 0.00000000 | 0.00000000 |
| #29 | Cowen Execution Services LLC | 8-46838 | 000035693 | 5493005RJDJD18OPUP27 | 0.00000000 | 0.00000000 |
| #30 | BofA Securities, Inc. | 8-69787 | 000283942 | 549300HN4UKV1E2R3U73 | 0.00000000 | 0.00000000 |
| #31 | Mizuho Securities USA LLC | 8-37710 | 000019647 | 7TK5RJIZDFROZCA6XF66 | 0.00000000 | 0.00000000 |
| b. Did the Fund require that an authorized participant post collateral to the Fund or any of its designated service providers in connection with the purchase or redemption of Fund shares during the reporting period? | ☒ Yes ☐ No |
| Instructions. The term “creation unit” means a specified number of Exchange-Traded Fund or Exchange-Traded Managed Fund shares that the fund will issue to (or redeem from) an authorized participant in exchange for the deposit (or delivery) of specified securities, positions, cash, and other assets or positions. |
| a. Number of Fund shares required to form a creation unit as of the last business day of the reporting period: | 100,000.00000000 |
| b. Based on the dollar value paid for each creation unit purchased by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 78.49761904
%
|
| ii. The standard deviation of the percentage of value composed of cash: | 5.74540242
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 21.50238095
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 5.74540242
%
|
| c. Based on the dollar value paid for creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average percentage of that value composed of cash: | 4.35000000
%
|
| ii. The standard deviation of the percentage of that value composed of cash: | 0.00000000
%
|
| iii. The average percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 95.65000000
%
|
| iv. The standard deviation of the percentage of that value composed of non-cash assets and other positions exchanged on an "in-kind" basis: | 0.00000000
%
|
| d. For creation units purchased by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| e. For creation units redeemed by authorized participants during the reporting period, provide: |
| i. The average transaction fee charged to an authorized participant for transacting in the creation units, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| ii. The average transaction fee charged to an authorized participant for transacting in those creation units the consideration for which was fully or partially composed of cash, expressed as: |
| 1. Dollars per creation unit, if charged on that basis: | 0.00000000 |
| 2. Dollars for one or more creation units purchased on the same day, if charged on that basis: | 2,000.00000000 |
| 3. A percentage of the value of each creation unit, if charged on that basis: | 0.00000000
%
|
| a. Is the Fund an "In-Kind Exchange-Traded Fund" as defined in rule 22e-4 under the Act (17 CFR 270.22e-4)? | ☐ Yes ☒ No |
| a. Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: | ☐
i. Legal proceedings
☐ ii. Provision of financial support ☒ iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only) ☐ iv. Change in accounting principles and practices ☐ v. Information required to be filed pursuant to exemptive orders ☐ vi. Other information required to be included as an attachment pursuant to Commission rules and regulations |
| Instructions. 1. Item G.1.a.i. Legal proceedings. (a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding. (b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination. 2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support. (b) Person providing support. (c) Brief description of relationship between the person providing support and the Registrant. (d) Date support provided. (e) Amount of support. (f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI). (g) Value of security supported on date support was initiated (if applicable). (h) Brief description of reason for support. (i) Term of support. (j) Brief description of any contractual restrictions relating to support. 3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year. The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued. Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed. The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant. 4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description. 5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant. 6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations. |
| Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. |
| Registrant | SCHWAB STRATEGIC TRUST | |
| Date | 2020-05-08 | |
| Signature | James D Pierce | |
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