Filing Details

Accession Number:
0001015780-19-000187
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-09-16 17:20:12
Reporting Period:
2019-09-12
Accepted Time:
2019-09-16 17:20:12
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
1187442 A Rodger Lawson 11 Times Square
32Nd Floor
New York NY 10036
Yes No 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 2019-09-12 1,492 $44.42 113,739 No 4 F Direct
Common Stock Disposition 2019-09-13 5,109 $45.18 108,630 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 F Direct
No 4 S Direct
Footnotes
  1. Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 12, 2016.
  2. Sale of Common Stock pursuant to a 10b5-1 Plan entered into on December 13, 2018.
  3. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $44.83 to $45.54, inclusive. The reporting person undertakes to provide toE*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 ofshares sold at each separate price within the range set forth in this Form 4.