Filing Details

Accession Number:
0001144204-11-060932
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-11-02 19:38:05
Reporting Period:
2011-10-27
Filing Date:
2011-11-02
Filing Date Changed:
2011-11-02
Accepted Time:
2011-11-02 20:38:05
Original Submission Date:
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
1255159 C Kenneth Griffin C/o Citadel Investment Group Ii, L.l.c.
131 S Dearborn Street 32Nd Floor
Chicago IL 60603
Yes No No No
1255163 Ltd Fund Equity Citadel C/o Citadel Investment Group Ii, L.l.c.
131 S Dearborn Street 32Nd Floor
Chicago IL 60603
Yes No No No
1307720 Llc Securities Citadel C/o Citadel Investment Group Ii, L.l.c.
131 South Dearborn Street
Chicago IL 60603
Yes No No No
1417302 Ltd Trading Derivatives Citadel C/o Citadel Investment Group Ii, L.l.c.
131 S Dearborn Street 32Nd Floor
Chicago IL 60603
Yes No No No
1423043 Lp I Holdings Citadel C/o Citadel Investment Group Ii, L.l.c.
131 Dearborn St., 32Nd Floor
Chicago IL 60603
Yes No No No
1423052 Citadel Investment Group Ii, L.l.c. C/o Citadel Investment Group Ii, L.l.c.
131 S Dearborn Street 32Nd Floor
Chicago IL 60603
Yes No No No
1423053 Llc Advisors Citadel C/o Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
Yes No No No
1423054 Lp Ii Holdings Citadel C/o Citadel Investment Group Ii, L.l.c.
131 Dearborn St., 32Nd Floor
Chicago IL 60603
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings
Common Stock Acquisiton 2011-10-27 1,200 $11.32 25,954
Common Stock Disposition 2011-10-27 1,200 $11.41 24,754
Common Stock Acquisiton 2011-10-28 2,500 $11.60 27,254
Common Stock Disposition 2011-10-28 2,500 $11.63 24,754
Common Stock Acquisiton 2011-10-31 4,500 $10.85 29,254
Common Stock Disposition 2011-10-31 4,500 $10.88 24,754
Common Stock Acquisiton 2011-11-02 5,200 $10.22 29,954
Common Stock Disposition 2011-11-02 5,200 $10.33 24,754
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 S Direct
No 4 P Direct
No 4 S Direct
No 4 P Direct
No 4 S Direct
No 4 P Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,784 Direct
Common Stock 27,394,448 Direct
Footnotes
  1. This security is owned by Citadel Derivatives Trading Ltd.
  2. This security is owned by Citadel Equity Fund Ltd.
  3. This security is owned by Citadel Securities LLC. The trades reported in this Form 4 were executed inadvertently. The Reporting Persons notified the issuer that they intend to reimburse the issuer for any short swing profits with respect to the trades reported herein.
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