Securities Registration (section 12(b)) (8-a12b)
31 Mars 2021 - 12:07PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-A
FOR
REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR (g) OF
THE SECURITIES EXCHANGE ACT OF 1934
The Charles
Schwab Corporation
(Exact name of registrant as specified in its charter)
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Delaware
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94-3025021
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(State of incorporation or organization)
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(I.R.S. Employer Identification No.)
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3000 Schwab Way, Westlake, TX
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76262
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(Address of principal executive offices)
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(Zip Code)
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Securities to be registered pursuant to Section 12(b) of the Act:
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Title of each class
to be so registered
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Name of each exchange on which
each class is to be registered
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Depositary Shares each representing 1/40th
interest in a share of 4.450% Non-Cumulative Perpetual Preferred Stock, Series J
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New York Stock Exchange
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If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General
Instruction A.(c) or (e), check the following box. ☒
If this form relates to the registration of a class of securities pursuant to
Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. ☐
If this
form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. ☐
Securities Act registration statement or Regulation A offering statement file number to which this form relates:
333-251156
Securities to be registered pursuant to Section 12(g) of the Act:
None.
INFORMATION REQUIRED IN REGISTRATION STATEMENT
Item 1. Description of Registrants Securities to be Registered.
The securities to be registered hereby are the depositary shares (the Depositary Shares), each representing a 1/40th
interest in a share of 4.450% Non-Cumulative Perpetual Preferred Stock, Series J, par value of $0.01, with a liquidation preference of $1,000 per share (equivalent to $25 per depositary share) of
The Charles Schwab Corporation, a Delaware corporation (the Company). The descriptions set forth under the sections Description
of Depositary Shares and Description of Series J Preferred Stock in the prospectus
supplement dated March 23, 2021, as filed with the Securities and Exchange Commission (the Commission) on March
24, 2021 pursuant to Rule 424(b)(5) under the Securities Act of 1933, as amended, and under the sections Description of Depositary
Shares and Description of Preferred Stock in the Prospectus included in the automatic shelf registration statement on
Form S-3 (No. 333-251156) of the Company (collectively, the
Registration Statement), as filed with the Commission on December 4, 2020, are incorporated herein by reference.
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Item 2.
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Exhibits.
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3.1
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Certificate of Designations of 4.450% Non-Cumulative Perpetual Preferred Stock, Series J, dated March 29,
2021, of the Company (including the form of 4.450% Non-Cumulative Perpetual Preferred Stock, Series J Certificate of the Company attached as Exhibit A thereto) (incorporated by reference to Exhibit 3.1 of the
Current Report on Form 8-K of the Company filed March 30, 2021).
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4.1
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Deposit Agreement, dated March
30, 2021, between the Company and Equiniti Trust Company, as Depositary (including the form of Depositary Share Receipt attached as Exhibit A thereto) (incorporated by reference to Exhibit 4.1 of the Current Report on Form 8-K of the Company filed March 30, 2021).
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Signature
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration
statement to be signed on its behalf by the undersigned, thereto duly authorized.
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THE CHARLES SCHWAB CORPORATION
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Date: March 30, 2021
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By:
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/s/ Peter Crawford
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Peter Crawford
Executive Vice President and
Chief Financial Officer
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