0001015780-13-000067.txt : 20131202 0001015780-13-000067.hdr.sgml : 20131202 20131202170130 ACCESSION NUMBER: 0001015780-13-000067 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131127 FILED AS OF DATE: 20131202 DATE AS OF CHANGE: 20131202 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Audette Matthew J CENTRAL INDEX KEY: 0001435098 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 131252342 MAIL ADDRESS: STREET 1: C/O DAVIS POLK & WARDWELL STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-11-27 0 0001015780 E TRADE FINANCIAL Corp ETFC 0001435098 Audette Matthew J 1271 AVENUE OF THE AMERICAS 14TH FLOOR NEW YORK NY 10020-1302 0 1 0 0 EVP & Chief Financial Officer Common Stock 2013-11-27 4 S 0 8809.0 17.8772 D 197593 D Sale of common stock pursuant to a Section 10b5-1 plan entered into on October 28, 2013, primarily for the payment of additional tax liability associated with prior vestings of restricted stock. By: Karl A. Roessner For: Matthew J. Audette 2013-11-29