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