0000950103-20-019651.txt : 20201005
0000950103-20-019651.hdr.sgml : 20201005
20201005171225
ACCESSION NUMBER: 0000950103-20-019651
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201002
FILED AS OF DATE: 20201005
DATE AS OF CHANGE: 20201005
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WEINREICH JOSHUA
CENTRAL INDEX KEY: 0001106679
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11921
FILM NUMBER: 201224442
MAIL ADDRESS:
STREET 1: C/O ANJIE LAROCCA, DEUTSCHE BANK
STREET 2: 345 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10154
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: BALLSTON TOWER
STREET 2: 671 N. GLEBE ROAD
CITY: ARLINGTON
STATE: VA
ZIP: 22203
BUSINESS PHONE: 6465214340
MAIL ADDRESS:
STREET 1: BALLSTON TOWER
STREET 2: 671 N. GLEBE ROAD
CITY: ARLINGTON
STATE: VA
ZIP: 22203
FORMER COMPANY:
FORMER CONFORMED NAME: E TRADE FINANCIAL Corp
DATE OF NAME CHANGE: 20111205
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
4
1
dp138320_4-weireich.xml
FORM 4
X0306
4
2020-10-02
1
0001015780
E TRADE FINANCIAL CORP
ETFC
0001106679
WEINREICH JOSHUA
671 NORTH GLEBE ROAD
BALLSTON TOWER
ARLINGTON
VA
22203
1
0
0
0
Common Stock
2020-10-02
4
D
0
13134
D
0
D
Series A Preferred Stock
2020-10-02
4
D
0
25
D
0
D
Series B Preferred Stock
2020-10-02
4
D
0
25
D
0
D
Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of February 20, 2020, by and among E*TRADE Financial Corporation, Moon-Eagle Merger Sub, Inc. and Morgan Stanley, as it may be amended from time to time, referred to as the Merger Agreement.
Includes shares underlying previously reported equity awards.
Each share of common stock, including shares underlying previously reported equity awards, was cancelled pursuant to the Merger Agreement in exchange for the right to receive the consideration provided in the Merger Agreement (i.e., 1.0432 fully paid and nonassessable shares of voting common stock, $0.01 par value, of Morgan Stanley for each such share, subject to applicable tax withholding and with cash payable in lieu of any fractional shares).
Each share of Series A Preferred Stock was cancelled pursuant to the Merger Agreement in exchange for the right to receive the consideration provided in the Merger Agreement (i.e. one share of a newly created series of Morgan Stanley's Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series M).
Each share of Series B Preferred Stock was cancelled pursuant to the Merger Agreement in exchange for the right to receive the consideration provided in the Merger Agreement (i.e. one share of a newly created series of Morgan Stanley's Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series N).
/s/ By: Lori Sher For: Joshua Weinreich
2020-10-05