Filing Details

Accession Number:
0001015780-14-000012
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-10 18:19:44
Reporting Period:
2014-02-06
Filing Date:
2014-02-10
Accepted Time:
2014-02-10 18:19:44
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
1580536 A Karl Roessner 1271 Avenue Of The Americas
14Th Floor
New York NY 10020-1302
Evp & General Counsel 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 Disposition 2014-02-06 7,162 $19.52 214,671 No 4 F Direct
Common Stock Disposition 2014-02-07 2,611 $19.97 212,060 No 4 S Direct
Common Stock Acquisiton 2014-02-07 44,631 $0.00 256,691 No 4 A Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 S Direct
No 4 A Direct
Footnotes
  1. Shares reported were withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 6, 2013.
  2. Sale of common stock pursuant to a Rule 10b5-1 plan entered into on October 28, 2013, primarily for the payment of additional tax liability associated with the vesting of restricted stock on February 6, 2014.
  3. Restricted Stock Unit award will vest over three years, with one-third vesting on February 7, 2015; one-third vesting on February 7, 2016; and the remaining one-third vesting on February 7, 2017.