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Filing Details

Accession Number:: 0001144204-11-070991
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2011-12-21 16:02:43
Reporting Period:: 2011-12-19

Filing Date:: 2011-12-21
Accepted Time:: 2011-12-21 16:02:43
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	Director	Officer	Large Shareholder	Other
1255159	C Kenneth Griffin	C/O Citadel Llc 131 S. Dearborn St., 32Nd Floor Chicago IL 60603	Yes	No	No	No
1255163	Ltd Fund Equity Citadel	C/O Citadel Llc 131 S. Dearborn St., 32Nd Floor Chicago IL 60603	Yes	No	No	No
1307720	Citadel Securities Llc	C/O Citadel Llc 131 S. Dearborn St., 32Nd Floor Chicago IL 60603	Yes	No	No	No
1417302	Ltd Trading Derivatives Citadel	C/O Citadel Llc 131 S. Dearborn St., 32Nd Floor Chicago IL 60603	Yes	No	No	No
1423043	Citadel Holdings I Lp	C/O Citadel Llc 131 S. Dearborn St., 32Nd Floor Chicago IL 60603	Yes	No	No	No
1423052	Citadel Investment Group Ii, L.l.c.	C/O Citadel Llc 131 S. Dearborn St., 32Nd Floor Chicago IL 60603	Yes	No	No	No
1423053	Citadel Advisors Llc	C/O Citadel Llc 131 S. Dearborn St., 32Nd Floor Chicago IL 60603	Yes	No	No	No
1423054	Citadel Holdings Ii Lp	C/O Citadel Llc 131 S. Dearborn St., 32Nd Floor Chicago IL 60603	Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2011-12-19	1,975	$7.49	26,729	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	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

This security is owned by Citadel Derivatives Trading Ltd.
This security is owned by Citadel Equity Fund Ltd.
This security is owned by Citadel Securities LLC.
On November 10, 2011, Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Initial Depositor"), gave notice to The Bank of New York Mellon ( "Trustee"), of its decision to early terminate the Internet HOLDRS Trust effective on the closing date of an Asset Purchase Agreement dated August 11, 2011 between Merrill Lynch & Co., Inc. and Van Eck Associates Corporation ("Van Eck" and, such agreement, the "Agreement"). Such notice notified the Trustee that the closing under the Agreement (the "Closing") will constitute an "early termination" under the Depositary Trust Agreement dated September 2, 1999, as amended by Amendment No. 1 dated as of August 11, 2011, governing the Internet HOLDRS Trust. The Closing was scheduled to occur on or about December 20, 2011, unless extended by Van Eck.
Citadel Securities LLC was the owner of certain Internet Holding Company Depositary Receipts ("Internet Depositary Receipts"). On December 19, 2011, because of the planned termination of the Internet HOLDRS Trust, certain of Citadel Securities LLC's Internet Depositary Receipts were redeemed in kind. As a result of that redemption, Citadel Securities LLC received 1,975 shares of Common Stock of the Issuer. The Common Stock of the Issuer was one of the many portfolio securities owned by the Internet HOLDRS Trust and distributed to Citadel Securities LLC as a result of the redemption. To the extent that the trades reported here could be deemed to generate recoverable short-swing profits beyond those resulting from the trades reported on the Form 4 filed by the Reporting Persons on November 2, 2011, the Reporting Persons intend to reimburse the issuer for any such incremental short swing profits.