0001015780-19-000186.txt : 20190916
0001015780-19-000186.hdr.sgml : 20190916
20190916171958
ACCESSION NUMBER: 0001015780-19-000186
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190912
FILED AS OF DATE: 20190916
DATE AS OF CHANGE: 20190916
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Curcio Michael John
CENTRAL INDEX KEY: 0001449738
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11921
FILM NUMBER: 191095321
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
2019-09-12
0
0001015780
E TRADE FINANCIAL CORP
ETFC
0001449738
Curcio Michael John
11 TIMES SQUARE
32ND FLOOR
NEW YORK
NY
10036
0
1
0
0
EVP, Institutional
Common Stock
2019-09-12
4
F
0
43431
44.42
D
149159
D
Common Stock
2019-09-13
4
S
0
53584
45.1835
D
95575
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for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 12, 2016.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 10b5-1 Plan entered into on December 13, 2018.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $44.83 to $45.54, 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: Michael John Curcio
2019-09-16