Filing Details

Accession Number:
0001015780-18-000027
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-02-09 21:39:24
Reporting Period:
2018-02-07
Accepted Time:
2018-02-09 21:39:24
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
1187442 A Rodger Lawson 11 Times Square
32Nd Floor
New York NY 10036
Executive Chairman Yes 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 2018-02-07 13,046 $0.00 96,966 No 4 A Direct
Common Stock Disposition 2018-02-07 6,389 $52.03 90,577 No 4 F Direct
Common Stock Acquisiton 2018-02-07 13,046 $0.00 103,623 No 4 A Direct
Common Stock Disposition 2018-02-07 4,975 $52.03 98,648 No 4 F Direct
Common Stock Disposition 2018-02-07 3,853 $51.95 94,795 No 4 S Direct
Common Stock Disposition 2018-02-08 5,221 $50.67 89,574 No 4 S Direct
Common Stock Disposition 2018-02-08 4,100 $51.39 85,474 No 4 S Direct
Common Stock Acquisiton 2018-02-09 20,552 $0.00 106,026 No 4 A Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
No 4 A Direct
No 4 F Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
No 4 A Direct
Footnotes
  1. Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 3, 2017, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2017.
  2. Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 3, 2017.
  3. Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017.
  4. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.59 to $52.42, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
  5. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.17 to $51.16, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
  6. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.23 to $51.65, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
  7. Restricted Stock Unit award that will vest over three years, with one-third vesting on February 9, 2019; one-third vesting on February 9, 2020; and the remaining one-third vesting on February 9, 2021.