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for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 12, 2016.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