<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 1994 Commission file number 1-9700
THE CHARLES SCHWAB CORPORATION
(Exact name of Registrant as specified in its charter)
Delaware 94-3025021
(State or other jurisdiction (I.R.S. Employer Identification No.)
of incorporation or organization)
101 Montgomery Street, San Francisco, CA 94104
(Address of principal executive offices and zip code)
Registrant's telephone number, including area code: (415) 627-7000
Indicate by check mark whether the registrant (1) has filed all
reports required to be filed by Section 13 or 15(d) of the Securities
Exchange Act of 1934 during the preceding 12 months (or for such
shorter period that the registrant was required to file such reports),
and (2) has been subject to such filing requirements for the past
90 days.
Yes x No
--- ---
Indicate the number of shares outstanding of each of the issuer's
classes of common stock, as of the latest practicable date.
57,324,826 shares of $.01 par value Common Stock
Outstanding on November 7, 1994
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Item 6. Exhibits and Reports on Form 8-K
(a) The following exhibits are filed as part of this quarterly
report on Form 10-Q.
Exhibit
Number Exhibit
10.141 The Charles Schwab Corporation 1992 Stock Incentive Plan, as
amended October 18, 1994 (supersedes Exhibit 10.131 to Registrant's
Form 10-K for the year ended December 31, 1993).
10.142 The Charles Schwab Corporation Deferred Compensation Plan, as
amended October 18, 1994 (supersedes Exhibit 10.133 to Registrant's
Form 10-K for the year ended December 31, 1993).
10.143 Form of Nonstatutory Stock Option Agreement (supersedes Exhibit
10.139 to Registrant's Form 10-Q for the quarter ended June 30,
1994).
10.144 Form of Incentive Stock Option Agreement.
11.1 Computation of Earnings per Common Equivalent Share.
12.1 Computation of Ratio of Earnings to Fixed Charges.
27 Financial Data Schedule for the period ended September 30, 1994.
(b) Reports on Form 8-K
On July 12, 1994 the Registrant filed a Current Report on Form 8-K
relating to several complaints in which M&S was named as a
defendant. Schwab was named as a defendant in one of the
complaints. The complaints generally allege an illegal combination
and conspiracy among the defendant market makers to fix and
maintain the spreads between the bid and ask prices of Nasdaq
securities for varying periods back to 1989 through the date of the
complaints.
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this report to be signed on its behalf
by the undersigned thereunto duly authorized.
THE CHARLES SCHWAB CORPORATION
(Registrant)
Date: December 22, 1994 A. John Gambs /s/
-------------------------------------
A. John Gambs
Executive Vice President - Finance,
and Chief Financial Officer
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<LEGEND>
This schedule contains summary financial information extracted from the
Condensed Consolidated Statement of Income and Condensed Consolidated Balance
Sheet of the Company's Form 10-Q for the quarterly period ended September 30,
1994, and is qualified in its entirety by reference to such financial
statements.
</LEGEND>
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