Filing Details

Accession Number:
0001144204-11-024279
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-04-27 16:16:50
Reporting Period:
2011-04-25
Filing Date:
2011-04-27
Accepted Time:
2011-04-27 16:16:50
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
1255159 C Kenneth Griffin C/O Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
Yes No No No
1255163 Ltd Fund Equity Citadel C/O Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
Yes No No No
1307720 Citadel Securities Llc C/O Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
Yes No No No
1417302 Ltd Trading Derivatives Citadel C/O Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
Yes No No No
1423043 Citadel Holdings I Lp C/O Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
Yes No No No
1423052 Citadel Investment Group Ii, L.l.c. C/O Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
Yes No No No
1423053 Citadel Advisors Llc C/O Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
Yes No No No
1423054 Citadel Holdings Ii Lp C/O Citadel Llc
131 S. Dearborn Street, 32Nd Floor
Chicago IL 60603
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 Acquisiton 2011-04-25 2,979,593 $10.34 27,500,060 No 4 M Direct
Common Stock Disposition 2011-04-25 27,500,000 $16.38 60 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Class A Convertible Debentures due 2019 Disposition 2011-04-25 0 $0.00 2,979,593 $10.34
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-08-25 2019-08-25 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,784 Direct
Common Stock 24,754 Direct
Footnotes
  1. This security is owned by Citadel Derivatives Trading Ltd.
  2. This security is owned by Citadel Securities LLC.
  3. This security is owned by Citadel Equity Fund Ltd. ("CEF").
  4. The Class A Debentures were converted into Common Stock of the Issuer in accordance with the terms of the indenture governing such Debentures.
  5. The Class A Debentures remaining after the conversion on April 25, 2011 reported in Table II are convertible into an additional 27,394,390 shares of Common Stock.