0001015780-17-000093.txt : 20170914 0001015780-17-000093.hdr.sgml : 20170914 20170914170829 ACCESSION NUMBER: 0001015780-17-000093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170912 FILED AS OF DATE: 20170914 DATE AS OF CHANGE: 20170914 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: 171086231 MAIL ADDRESS: STREET 1: C/O E*TRADE FINANCIAL CORPORATION STREET 2: 1271 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10022 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 0001580536 Roessner Karl A 11 TIMES SQUARE 32ND FLOOR NEW YORK NY 10036 1 1 0 0 Chief Executive Officer Common Stock 2017-09-12 4 F 0 6971 40.6725 D 225731 D Common Stock 2017-09-13 4 S 0 1873 40.4885 D 223858 D Common Stock 2017-09-13 4 S 0 6705 40.4884 D 217153 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for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 12, 2016.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 $40.4200 to $40.5600, 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: Karl A. Roessner 2017-09-14