Filing Details
- Accession Number:
- 0001015780-14-000064
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-27 17:01:12
- Reporting Period:
- 2014-08-25
- Filing Date:
- 2014-08-27
- Accepted Time:
- 2014-08-27 17:01:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1015780 | E Trade Financial Corp | ETFC | Savings Institution, Federally Chartered (6035) | 942844166 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1435098 | J Matthew Audette | 1271 Avenue Of The Americas 14Th Floor New York NY 10020-1302 | Evp & Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-08-25 | 16,250 | $9.25 | 201,476 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-08-25 | 17,437 | $14.60 | 218,913 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-25 | 44,210 | $22.62 | 174,703 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2014-08-25 | 16,250 | $0.00 | 16,250 | $9.25 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2014-08-25 | 17,437 | $0.00 | 17,437 | $14.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2016-02-20 | No | 4 | M | Direct | |
| 0 | 2017-02-11 | No | 4 | M | Direct |
Footnotes
- Acquisition of common stock upon the exercise of stock options.
- Sale of common stock pursuant to a Rule 10b5-1 plan entered into on July 25, 2014, including shares sold to cover costs and tax liabilities associated with the exercise of stock options.
- The stock options vested in two annual installments beginning on February 20, 2010.
- The stock options vested in three annual installments beginning on February 11, 2011.
Billionaire Hedge Funds
