-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JFdirZXF+cq7+wNuZIHA+9pWmBs4Fu3TD3x73XNTQrVrY0EXvwTd/dq2dsyprYCY fRIz58nwY/HV9lxStCvXYA== 0001144204-08-023721.txt : 20080422 0001144204-08-023721.hdr.sgml : 20080422 20080422200545 ACCESSION NUMBER: 0001144204-08-023721 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20080419 FILED AS OF DATE: 20080422 DATE AS OF CHANGE: 20080422 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: 135 E. 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 6503316000 MAIL ADDRESS: STREET 1: 135 E. 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE GROUP INC DATE OF NAME CHANGE: 19960531 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL ADVISORS LLC CENTRAL INDEX KEY: 0001423053 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 08770403 BUSINESS ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL HOLDINGS II LP CENTRAL INDEX KEY: 0001423054 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 08770401 BUSINESS ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Citadel Derivatives Group, LLC CENTRAL INDEX KEY: 0001307720 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 08770400 BUSINESS ADDRESS: STREET 1: 131 SOUTH DEARBORN STREET CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3123955000 MAIL ADDRESS: STREET 1: 131 SOUTH DEARBORN STREET CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL DERIVATIVES TRADING LTD CENTRAL INDEX KEY: 0001417302 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 08770399 BUSINESS ADDRESS: STREET 1: 28 N CHURCH STREET STREET 2: 2ND FLOOR WATER CENTER CITY: GEORGETOWN STATE: E9 ZIP: KY1 1104 BUSINESS PHONE: 312 395 2100 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL HOLDINGS I LP CENTRAL INDEX KEY: 0001423043 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 08770402 BUSINESS ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP II, L.L.C. STREET 2: 131 DEARBORN ST., 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL INVESTMENT GROUP II, L.L.C. CENTRAL INDEX KEY: 0001423052 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 08770398 BUSINESS ADDRESS: STREET 1: 131 DEARBORN ST. STREET 2: 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: 131 DEARBORN ST. STREET 2: 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 4 1 v111359_ex.xml X0202 4 2008-04-19 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001423053 CITADEL ADVISORS LLC C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN STREET, 32ND FL CHICAGO IL 60603 0 0 1 0 0001423043 CITADEL HOLDINGS I LP C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001423054 CITADEL HOLDINGS II LP C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001307720 Citadel Derivatives Group, LLC C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001417302 CITADEL DERIVATIVES TRADING LTD C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001423052 CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 Common Stock 2008-04-19 4 X 0 38400 5.00 A 747993 D Common Stock 2008-04-19 4 X 0 1100 6.00 A 749093 D Common Stock 2008-04-19 4 X 0 1500 10.00 A 750593 D Common Stock 2008-04-19 4 X 0 5900 3.00 D 744693 D Common Stock 2008-04-19 4 X 0 3500 7.00 D 741193 D Common Stock 2008-04-19 4 X 0 16600 8.00 D 724593 D Common Stock 2008-04-19 4 X 0 26900 9.00 D 697693 D Common Stock 2008-04-19 4 X 0 20700 11.00 D 676993 D Common Stock 2008-04-19 4 X 0 15100 12.00 D 661893 D Common Stock 2008-04-19 4 X 0 31200 13.00 D 630693 D Common Stock 2008-04-19 4 X 0 24000 14.00 D 606693 D Common Stock 2008-04-19 4 X 0 29200 15.00 D 577493 D Common Stock 2008-04-19 4 X 0 4000 16.00 D 573493 D Common Stock 2008-04-19 4 X 0 4600 11.00 A 129413 D Common Stock 2008-04-19 4 X 0 300 16.00 A 129713 D Common Stock 2008-04-19 4 X 0 27900 6.00 D 101813 D Common Stock 2008-04-19 4 X 0 17900 8.00 D 83913 D Common Stock 2008-04-19 4 X 0 33400 9.00 D 50513 D Common Stock 2008-04-19 4 X 0 12100 10.00 D 38413 D Common Stock 2008-04-19 4 X 0 35500 12.00 D 2913 D Common Stock 2008-04-19 4 X 0 900 15.00 D 2013 D Common Stock 79867087 D Common Stock 8945249 D PUT OPTION: EUSPA [OBLIGATION TO BUY] 5.00 2008-04-19 4 X 0 384 0.00 D 2008-04-19 Common Stock 38400 0 D PUT OPTION: EUSPI [OBLIGATION TO BUY] 6.00 2008-04-19 4 X 0 11 0.00 D 2008-04-19 Common Stock 1100 0 D PUT OPTION: EUSPB [OBLIGATION TO BUY] 10.00 2008-04-19 4 X 0 15 0.00 D 2008-04-19 Common Stock 1500 0 D CALL OPTION: EUSDG [OBLIGATION TO SELL] 3.00 2008-04-19 4 X 0 59 0.00 D 2008-04-19 Common Stock 5900 0 D PUT OPTION: EUSPJ [RIGHT TO SELL] 7.00 2008-04-19 4 X 0 35 0.00 D 2008-04-19 Common Stock 3500 0 D PUT OPTION: EUSPK [RIGHT TO SELL] 8.00 2008-04-19 4 X 0 166 0.00 D 2008-04-19 Common Stock 16600 0 D This security is owned by Citadel Derivatives Group LLC. This security is owned by Citadel Derivatives Trading Ltd. This security is owned by Citadel AC Investments Ltd. This security is owned by Citadel Equity Fund Ltd. Each of the securities listed is an exchange-traded option contract. Exchange-traded options are immediately exercisable and remain exercisable until expiration. The transaction shown resulted from the exercise of in-the-money option contracts by Citadel Derivatives Group LLC, by Citadel Derivatives Trading Ltd. or by third parties. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities described herein except to the extent of such person's pecuniary interest therein. A Form 4 is limited to a maximum of ten reporting persons. As a result, this Form 4 is one of two filed today reporting on the same securities by the following eleven joint filers: Citadel Investment Group, L.L.C., Citadel Limited Partnership, Citadel Equity Fund Ltd., Citadel AC Investments Ltd., Kenneth Griffin, Citadel Investment Group II, L.L.C., Citadel Holdings I LP, Citadel Holdings II LP, Citadel Advisors LLC, Citadel Derivatives Group LLC and Citadel Derivatives Trading Ltd. /s/ John C. Nagel, Authorized Signatory 2008-04-22 EX-99.1 2 v111359_ex99-1.htm
Explanation of Responses
 
Name:
Citadel Advisors LLC
   
Address:
Citadel Investment Group II, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/19/08


CITADEL ADVISORS LLC

By: Citadel Holdings II LP,
its Sole Managing Member

By: Citadel Investment Group II, L.L.C.,
its General Partner

By: /s/ John C. Nagel                           
John C. Nagel, Authorized Signatory








JOINT FILER INFORMATION

Name:
Citadel Holdings I LP
   
Address:
c/o Citadel Investment Group II, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/19/08


CITADEL HOLDINGS I LP

By: Citadel Investment Group II, L.L.C.,
its General Partner

By: /s/ John C. Nagel                           
John C. Nagel, Authorized Signatory

 




JOINT FILER INFORMATION

Name:
Citadel Holdings II LP
   
Address:
c/o Citadel Investment Group II, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
Date of Event
Requiring Statement:
4/19/08


CITADEL HOLDINGS II LP

By: Citadel Investment Group II, L.L.C.,
its General Partner

By: /s/ John C. Nagel                           
John C. Nagel, Authorized Signatory
 




JOINT FILER INFORMATION

Name:
Citadel Derivatives Group LLC
   
Address:
c/o Citadel Investment Group II, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/19/08


CITADEL DERIVATIVES GROUP LLC

By: Citadel Holdings I LP,
its Manager

By: Citadel Investment Group II, L.L.C.,
its General Partner

By: /s/ John C. Nagel                           
John C. Nagel, Authorized Signatory

 




JOINT FILER INFORMATION

Name:
Citadel Derivatives Trading Ltd.
   
Address:
c/o Citadel Investment Group II, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/19/08


CITADEL DERIVATIVES TRADING LTD.

By: Citadel Advisors LLC,
its Portfolio Manager

By: Citadel Holdings II LP,
its Sole Managing Member

By: Citadel Investment Group II, L.L.C.,
its General Partner

By: /s/ John C. Nagel                           
John C. Nagel, Authorized Signatory
 




JOINT FILER INFORMATION

Name:
Citadel Investment Group II, L.L.C.
   
Address:
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Advisors LLC
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/19/08


CITADEL INVESTMENT GROUP II, L.L.C.

By: /s/ John C. Nagel                           
John C. Nagel, Authorized Signatory
 






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