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for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock units originally made on September 12, 2016.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