0001015780-19-000053.txt : 20190212
0001015780-19-000053.hdr.sgml : 20190212
20190212205423
ACCESSION NUMBER: 0001015780-19-000053
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190209
FILED AS OF DATE: 20190212
DATE AS OF CHANGE: 20190212
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: 19592967
MAIL ADDRESS:
STREET 1: C/O E*TRADE FINANCIAL CORP.
STREET 2: 11 TIMES SQUARE, 32ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036-9992
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
2019-02-09
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
2019-02-09
4
F
0
5484
46.0575
D
175092
D
Common Stock
2019-02-12
4
S
0
41157
47.3162
D
133935
D
Common Stock
2019-02-12
4
S
0
4567
47.6956
D
129368
D
Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 9, 2018.
Sale of Common Stock Pursuant to 10b5-1 Plan entered into on October 23, 2018.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $46.67 to $47.66, 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 $47.665 to $47.735, 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: Lori Sher For: Karl A. Roessner
2019-02-12