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withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 5, 2016.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