0001015780-18-000028.txt : 20180209
0001015780-18-000028.hdr.sgml : 20180209
20180209213935
ACCESSION NUMBER: 0001015780-18-000028
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180207
FILED AS OF DATE: 20180209
DATE AS OF CHANGE: 20180209
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Pizzi Michael A.
CENTRAL INDEX KEY: 0001644151
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11921
FILM NUMBER: 18593676
MAIL ADDRESS:
STREET 1: E*TRADE FINANCIAL CORP.
STREET 2: 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: 11 TIMES SQUARE, 32ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 6465214340
MAIL ADDRESS:
STREET 1: 11 TIMES SQUARE, 32ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
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
2018-02-07
0
0001015780
E TRADE FINANCIAL CORP
ETFC
0001644151
Pizzi Michael A.
11 TIMES SQUARE
32ND FLOOR
NEW YORK
NY
10036
0
1
0
0
Chief Financial Officer
Common Stock
2018-02-07
4
M
0
11727
17.58
A
104847
D
Common Stock
2018-02-07
4
S
0
46195
52.0285
D
58652
D
Common Stock
2018-02-07
4
S
0
1018
52.5589
D
57634
D
Common Stock
2018-02-07
4
A
0
6958
0.0
A
64592
D
Common Stock
2018-02-07
4
F
0
3408
52.03
D
61184
D
Common Stock
2018-02-07
4
A
0
8699
0.0
A
69883
D
Common Stock
2018-02-07
4
F
0
4260
52.03
D
65623
D
Common Stock
2018-02-07
4
A
0
6958
0.0
A
72581
D
Common Stock
2018-02-07
4
F
0
3408
52.03
D
69173
D
Common Stock
2018-02-08
4
S
0
8424
49.8275
D
60749
D
Common Stock
2018-02-08
4
S
0
10088
50.941
D
50661
D
Common Stock
2018-02-08
4
S
0
4104
51.457
D
46557
D
Common Stock
2018-02-09
4
A
0
18497
0.0
A
65054
D
Common Stock
2018-02-09
4
A
0
4110
0.0
A
69164
D
Stock Option
17.58
2018-02-07
4
M
0
11727
0.0
D
2018-02-10
Common Stock
11727
0
D
Acquisition of common stock upon the exercise of stock options pursuant to a Rule 10b5-1 plan entered into on February 25, 2017.
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 $51.50 to $52.49, 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.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $52.50 to $52.61, 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.
Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 3, 2017, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2017.
Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 3, 2017.
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 and return on equity targets relating to 2017.
Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 5, 2016.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.35 to $50.33, 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.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.36 to $51.34, 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.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.36 to $51.65, 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.
Restricted Stock Unit award that will vest over three years, with one-third vesting on February 9, 2019; one-third vesting on February 9, 2020; and the remaining one-third vesting on February 9, 2021.
The stock options vested in four annual installments beginning on February 10, 2012.
By: Marc Corredor For: Michael A. Pizzi
2018-02-09