-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DPcmBs70CEspWUcaphsFlO1M8WSWl2ak62hp5nBLhenQu1WJAFUXXW1eGLeNUUkL /98/gMF4B3RkpOTK67tbJA== 0001144204-11-011168.txt : 20110225 0001144204-11-011168.hdr.sgml : 20110225 20110225173530 ACCESSION NUMBER: 0001144204-11-011168 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110223 FILED AS OF DATE: 20110225 DATE AS OF CHANGE: 20110225 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRIFFIN KENNETH C CENTRAL INDEX KEY: 0001255159 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 11642397 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 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 GROUP INC DATE OF NAME CHANGE: 19960531 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL EQUITY FUND LTD CENTRAL INDEX KEY: 0001255163 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 11642398 BUSINESS ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL SECURITIES LLC CENTRAL INDEX KEY: 0001307720 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 11642401 BUSINESS ADDRESS: STREET 1: 131 SOUTH DEARBORN STREET CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3123955000 MAIL ADDRESS: STREET 1: 131 SOUTH DEARBORN STREET CITY: CHICAGO STATE: IL ZIP: 60603 FORMER NAME: FORMER CONFORMED NAME: Citadel Securities LLC DATE OF NAME CHANGE: 20091201 FORMER NAME: FORMER CONFORMED NAME: Citadel Derivatives Group, LLC DATE OF NAME CHANGE: 20041103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL DERIVATIVES TRADING LTD CENTRAL INDEX KEY: 0001417302 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 11642400 BUSINESS ADDRESS: STREET 1: 28 N CHURCH STREET STREET 2: 2ND FLOOR WATER CENTER CITY: GEORGETOWN STATE: E9 ZIP: KY1 1104 BUSINESS PHONE: 312 395 2100 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL HOLDINGS I LP CENTRAL INDEX KEY: 0001423043 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 11642403 BUSINESS ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL INVESTMENT GROUP II, L.L.C. CENTRAL INDEX KEY: 0001423052 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 11642399 BUSINESS ADDRESS: STREET 1: 131 DEARBORN ST. STREET 2: 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: 131 DEARBORN ST. STREET 2: 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL ADVISORS LLC CENTRAL INDEX KEY: 0001423053 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 11642405 BUSINESS ADDRESS: STREET 1: C/O CITADEL LLC STREET 2: 131 S. DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL LLC STREET 2: 131 S. DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL HOLDINGS II LP CENTRAL INDEX KEY: 0001423054 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 11642402 BUSINESS ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 4 1 v212639_ex.xml X0303 4 2011-02-23 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001423053 CITADEL ADVISORS LLC C/O CITADEL LLC 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001423043 CITADEL HOLDINGS I LP C/O CITADEL LLC 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001423054 CITADEL HOLDINGS II LP C/O CITADEL LLC 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001307720 CITADEL SECURITIES LLC C/O CITADEL LLC 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001417302 CITADEL DERIVATIVES TRADING LTD C/O CITADEL LLC 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001423052 CITADEL INVESTMENT GROUP II, L.L.C. C/O CITADEL LLC 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001255163 CITADEL EQUITY FUND LTD C/O CITADEL LLC 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001255159 GRIFFIN KENNETH C C/O CITADEL LLC 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 1 0 0 0 Common Stock 4784 D Common Stock 24754 D Common Stock 2011-02-23 4 M 0 5810058 10.34 A 27542520 D Common Stock 2011-02-23 4 S 0 23950000 15.91 D 3592520 D Class A Convertible Debentures due 2019 10.34 2011-02-23 4 M 0 60076000 D 2009-08-25 2019-08-25 Common Stock 5810058 530462000 D This security is owned by Citadel Derivatives Trading Ltd. This security is owned by Citadel Securities LLC. This security is owned by Citadel Equity Fund Ltd. ("CEF"). The Class A Debentures were converted into Common Stock of the Issuer in accordance with the terms of the indenture governing such Debentures. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities described herein except to the extent of such person's pecuniary interest therein. Mr. Griffin serves as the deputized director of the Reporting Persons. /s/ John C. Nagel, Authorized Signatory 2011-02-25 EX-99.1 2 v212639_ex99-1.htm Unassociated Document
JOINT FILER INFORMATION

Name:
Citadel Advisors LLC
   
Address:
c/o Citadel LLC
 
131 S. Dearborn Street, 32nd Floor
 
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
  
Requiring Statement:
02/23/2011


CITADEL ADVISORS LLC

By:
Citadel Holdings II LP,
 
its Managing Member
   
By:
Citadel Investment Group II, L.L.C.,
 
its General Partner
   
By:
/s/ John C. Nagel                     
 
John C. Nagel, Authorized Signatory
 
 
 
 
 
JOINT FILER INFORMATION

Name:
Citadel Holdings I LP
   
Address:
c/o Citadel LLC
 
131 S. Dearborn Street, 32nd Floor
 
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
  
Requiring Statement:
02/23/2011

 
CITADEL HOLDINGS I LP

By:
Citadel Investment Group II, L.L.C.,
 
its General Partner
   
By:
/s/ John C. Nagel                        
 
John C. Nagel, Authorized Signatory
 
 
 
 
 
JOINT FILER INFORMATION

Name:
Citadel Holdings II LP
   
Address:
c/o Citadel LLC
 
131 S. Dearborn Street, 32nd Floor
 
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
  
Requiring Statement:
02/23/2011


CITADEL HOLDINGS II LP

By:
Citadel Investment Group II, L.L.C.,
 
its General Partner
   
By:
/s/ John C. Nagel                        
 
John C. Nagel, Authorized Signatory
 
 
 
 
 
JOINT FILER INFORMATION

Name:
Citadel Securities LLC
   
Address:
c/o Citadel LLC
 
131 S. Dearborn Street, 32nd Floor
 
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
  
Requiring Statement:
02/23/2011


CITADEL SECURITIES LLC

By:
Citadel Holdings I LP,
 
its Non-Managing Member
   
By:
Citadel Investment Group II, L.L.C.,
 
its General Partner
   
By:
/s/ John C. Nagel                      
 
John C. Nagel, Authorized Signatory
 
 
 
 
 
JOINT FILER INFORMATION

Name:
Citadel Derivatives Trading Ltd.
   
Address:
c/o Citadel LLC
 
131 S. Dearborn Street, 32nd Floor
 
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
  
Requiring Statement:
02/23/2011


CITADEL DERIVATIVES TRADING LTD.

By:
Citadel Advisors LLC,
 
its Portfolio Manager
   
By:
Citadel Holdings II LP,
 
its Managing Member
   
By:
Citadel Investment Group II, L.L.C.,
 
its General Partner
   
By:
/s/ John C. Nagel                  
 
John C. Nagel, Authorized Signatory
 
 
 
 
 
JOINT FILER INFORMATION

Name:
Citadel Investment Group II, L.L.C.
   
Address:
c/o Citadel LLC
 
131 S. Dearborn Street, 32nd Floor
 
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
  
Requiring Statement:
02/23/2011


CITADEL INVESTMENT GROUP II, L.L.C.

By:
/s/ John C. Nagel                  
 
John C. Nagel, Authorized Signatory
 
 
 
 
 
JOINT FILER INFORMATION

Name:
Citadel Equity Fund Ltd.
   
Address:
c/o Citadel LLC
 
131 S. Dearborn Street, 32nd Floor
 
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
  
Requiring Statement:
02/23/2011


CITADEL EQUITY FUND LTD.

By:
Citadel Advisors LLC,
 
its Portfolio Manager
   
By:
Citadel Holdings II LP,
 
its Managing Member
   
By:
Citadel Investment Group II, L.L.C.,
 
its General Partner
   
By:
/s/ John C. Nagel                  
 
John C. Nagel, Authorized Signatory
 
 
 
 
 
JOINT FILER INFORMATION

Name:
Kenneth C. Griffin
   
Address:
c/o Citadel LLC
 
131 S. Dearborn Street, 32nd Floor
 
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
  
Requiring Statement:
02/23/2011

 
KENNETH C. GRIFFIN

By:
/s/ John C. Nagel             
 
John C. Nagel, attorney-in-fact*

 
* John C. Nagel is signing on behalf of Kenneth Griffin as attorney-in-fact pursuant to a power of attorney previously filed with the Securities and Exchange Commission on February 24, 2006, and hereby incorporated by reference herein. The power of attorney was filed as an attachment to a filing by Citadel Limited Partnership on Schedule 13G for Morgans Hotel Group Co.
 
 
 
 
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