0000950103-20-019660.txt : 20201005 0000950103-20-019660.hdr.sgml : 20201005 20201005172711 ACCESSION NUMBER: 0000950103-20-019660 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: Sher Lori CENTRAL INDEX KEY: 0001792574 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 201224598 MAIL ADDRESS: STREET 1: 11 TIMES SQUARE STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 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 dp138324_4-sher.xml FORM 4 X0306 4 2020-10-02 1 0001015780 E TRADE FINANCIAL CORP ETFC 0001792574 Sher Lori 671 NORTH GLEBE ROAD BALLSTON TOWER ARLINGTON VA 22203 0 1 0 0 EVP, General Counsel Common Stock 2020-10-02 4 A 0 29335 0 A 91586 D Common Stock 2020-10-02 4 D 0 91586 D 0 D Represents the number of shares of Common Stock received in settlement of performance share units, which vested 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. Disposed of as a result of the merger pursuant to 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). /s/ By: Piers Fennell For: Lori Sher 2020-10-05