0001015780-16-000116.txt : 20160211 0001015780-16-000116.hdr.sgml : 20160211 20160211170004 ACCESSION NUMBER: 0001015780-16-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160209 FILED AS OF DATE: 20160211 DATE AS OF CHANGE: 20160211 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: Roessner Karl A CENTRAL INDEX KEY: 0001580536 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 161412483 MAIL ADDRESS: STREET 1: C/O E*TRADE FINANCIAL CORPORATION STREET 2: 1271 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10022 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2016-02-09 0 0001015780 E TRADE FINANCIAL Corp ETFC 0001580536 Roessner Karl A 1271 AVENUE OF THE AMERICAS 14TH FLOOR NEW YORK NY 10020-1302 0 1 0 0 EVP & General Counsel Common Stock 2016-02-09 4 F 0 12992.0 20.865 D 260633 D Common Stock 2016-02-10 4 S 0 6916.0 21.2845 D 253717 D Common Stock 2016-02-10 4 S 0 19594.0 21.2258 D 234123 D Shares reported were withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on February 9, 2012. Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 5, 2015. By: Lori Sher For: Karl A. Roessner 2016-02-11