0001015780-17-000092.txt : 20170914 0001015780-17-000092.hdr.sgml : 20170914 20170914170806 ACCESSION NUMBER: 0001015780-17-000092 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170912 FILED AS OF DATE: 20170914 DATE AS OF CHANGE: 20170914 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAWSON RODGER A CENTRAL INDEX KEY: 0001187442 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 171086229 MAIL ADDRESS: STREET 1: 1271 AVENUE OF THE AMERICAS FL 14 CITY: NEW YORK STATE: NY ZIP: 10020-1302 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 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2017-09-12 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001187442 LAWSON RODGER A 11 TIMES SQUARE 32ND FLOOR NEW YORK NY 10036 1 1 0 0 Executive Chairman Common Stock 2017-09-12 4 F 0 1385 40.6725 D 88638 D Common Stock 2017-09-13 4 S 0 562 40.4632 D 88076 D Common Stock 2017-09-13 4 S 0 900 40.4633 D 87176 D Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 12, 2016. Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.4400 to $40.5100, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. By: Marc Corredor For: Rodger A. Lawson 2017-09-14 EX-24 2 lawson_poa20170810.txt EDGAR SUPPORTING DOCUMENT POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints each of Lori Sher and Marc Corredor as his true and lawful attorneys-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigneds capacity as an officer and/or director of ETRADE Financial Corporation (the Company), any and all Form 3, 4 and 5 reports required to be filed by the undersigned in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5 report and timely file such report with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned, pursuant to this Power of Attorney, shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in his or her discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform each and every act and thing whatsoever requisite, necessary, and proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or his or her substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that no such attorney-in-fact, in serving in such capacity at the request of the undersigned, is hereby assuming, nor is the Company hereby assuming, any of the undersigneds responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Form 3, 4 and 5 reports with respect to the undersigneds holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 10th day of August, 2017. Rodger A. Lawson 2