0000950103-20-019669.txt : 20201005 0000950103-20-019669.hdr.sgml : 20201005 20201005173648 ACCESSION NUMBER: 0000950103-20-019669 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: Lam James CENTRAL INDEX KEY: 0001562148 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 201224697 MAIL ADDRESS: STREET 1: C/O DAVIS POLK & WARDWELL LLP STREET 2: 450 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10017 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 dp138332_4-lam.xml FORM 4 X0306 4 2020-10-02 1 0001015780 E TRADE FINANCIAL CORP ETFC 0001562148 Lam James 671 NORTH GLEBE ROAD BALLSTON TOWER ARLINGTON VA 22203 1 0 0 0 Common Stock 2020-10-02 4 D 0 31451 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). /s/ By: Lori Sher For: James Lam 2020-10-05