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for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 12, 2016.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