0001015780-17-000014.txt : 20170207 0001015780-17-000014.hdr.sgml : 20170207 20170207171518 ACCESSION NUMBER: 0001015780-17-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170203 FILED AS OF DATE: 20170207 DATE AS OF CHANGE: 20170207 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: 6465214340 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 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 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: 17580041 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 2017-02-03 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001580536 Roessner Karl A 1271 AVENUE OF THE AMERICAS 14TH FLOOR NEW YORK NY 10020-1302 1 1 0 0 Chief Executive Officer Common Stock 2017-02-03 4 A 0 34315 0.0 A 289070 D Common Stock 2017-02-05 4 F 0 6279 34.97 D 282791 D Common Stock 2017-02-05 4 A 0 10374 0.0 A 293165 D Common Stock 2017-02-05 4 F 0 5792 34.97 D 287373 D Common Stock 2017-02-06 4 F 0 7742 34.693 D 279631 D Common Stock 2017-02-06 4 F 0 8682 34.693 D 270949 D Common Stock 2017-02-06 4 F 0 5825 34.693 D 265124 D Common Stock 2017-02-06 4 A 0 8027 0.0 A 273151 D Common Stock 2017-02-06 4 F 0 4482 34.693 D 268669 D Restricted Stock Unit award that will vest over three years, with one-third vesting on February 3, 2018; one-third vesting on February 3, 2019; and the remaining one-third vesting on February 3, 2020. Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 5, 2016. Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 5, 2016, which vested based upon the Company's achievement of earnings per share targets and key business initiatives relating to 2016. Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 5, 2016. 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 6, 2013. Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 6, 2015. Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 6, 2015, which vested based upon the Company's achievement of earnings per share targets and key business initiatives relating to 2016. Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 6, 2015. By: Lori Sher For: Karl A. Roessner 2017-02-07