0001015780-12-000031.txt : 20120213 0001015780-12-000031.hdr.sgml : 20120213 20120213183201 ACCESSION NUMBER: 0001015780-12-000031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120209 FILED AS OF DATE: 20120213 DATE AS OF CHANGE: 20120213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Utton Nicholas CENTRAL INDEX KEY: 0001449493 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 12601123 MAIL ADDRESS: STREET 1: E*TRADE FINANCIAL CORPORATION STREET 2: 135 EAST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: E TRADE FINANCIAL Corp CENTRAL INDEX KEY: 0001015780 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 942844166 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1271 AVENUE OF THE AMERICAS FL 14 CITY: NEW YORK STATE: NY ZIP: 10020-1302 BUSINESS PHONE: 6503316000 MAIL ADDRESS: STREET 1: 1271 AVENUE OF THE AMERICAS FL 14 CITY: NEW YORK STATE: NY ZIP: 10020-1302 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE Fiancial Corp DATE OF NAME CHANGE: 20111130 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE FINANCIAL Corp DATE OF NAME CHANGE: 20111025 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE FINANCIAL CORP DATE OF NAME CHANGE: 20031001 4 1 edgardoc.xml PRIMARY DOCUMENT X0304 4 2012-02-09 0 0001015780 E TRADE FINANCIAL Corp ETFC 0001449493 Utton Nicholas 1271 AVENUE OF THE AMERICAS 14TH FLOOR NEW YORK NY 10020-1302 0 1 0 0 EVP & Chief Marketing Officer Common Stock 2012-02-09 4 A 0 109529 0 A 296063 D Common Stock 2012-02-10 4 F 0 4026 9.15 D 292037 D Common Stock 2012-02-11 4 F 0 6070 9.15 D 285967 D Restricted stock unit award will vest over 4 years, with 27,383 shares vesting on February 9, 2013; 27,382 shares vesting on February 9, 2014; 27,382 shares vesting on February 9, 2015; and the remaining 27,382 shares vesting on February 9, 2016. 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withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 10, 2011. Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 11, 2010. By: Karl A. Roessner For: Nicholas Utton 2012-02-13