-----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, IaavjAtTaGbMNsKXIadPqFm5d4X7i1y9ONrEvRXBqadKpbkATXH7fB78A1hOwmO1 GJ3H3pMHQ41B/NT+Em5GAg== 0001144204-08-045404.txt : 20080811 0001144204-08-045404.hdr.sgml : 20080811 20080811170219 ACCESSION NUMBER: 0001144204-08-045404 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20080410 FILED AS OF DATE: 20080811 DATE AS OF CHANGE: 20080811 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: GRIFFIN KENNETH C CENTRAL INDEX KEY: 0001255159 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 081007082 BUSINESS ADDRESS: BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL AC INVESTMENTS LTD CENTRAL INDEX KEY: 0001421342 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 081007083 BUSINESS ADDRESS: STREET 1: C/O M&C CORPORATE SERVICES LIMITED STREET 2: P.O. BOX 309GT, SOUTH CHURCH STREET CITY: GEORGETOWN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP, L.L.C. STREET 2: 131 DEARBORN STREET, 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL EQUITY FUND LTD CENTRAL INDEX KEY: 0001255163 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 081007084 BUSINESS ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL INVESTMENT GROUP LLC CENTRAL INDEX KEY: 0001255158 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 081007085 BUSINESS ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL L P CENTRAL INDEX KEY: 0001027745 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 081007086 BUSINESS ADDRESS: STREET 1: 131 S. DEARBORN STREET, 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: 131 S. DEARBORN STREET, 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 4/A 1 v122201_ex.xml X0303 4/A 2008-04-10 2008-04-14 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001027745 CITADEL L P C/O CITADEL INVESTMENT GROUP, L.L.C. 131 S. DEARBORN STREET, 32ND FL CHICAGO IL 60603 0 0 1 0 0001255158 CITADEL INVESTMENT GROUP LLC 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001255163 CITADEL EQUITY FUND LTD C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001421342 CITADEL AC INVESTMENTS LTD C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001255159 GRIFFIN KENNETH C C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 Common Stock 2008-04-10 4 X 0 500 13 A 114813 D Common Stock 2008-04-11 4 P 0 10000 3.76 A 124813 D Common Stock 2008-04-10 4 X 0 1900 6 A 709593 D Common Stock 79867087 D Common Stock 8945249 D PUT OPTION: EUSPO [OBLIGATION TO PURCHASE] 13 2008-04-10 4 X 0 5 0 D 2008-04-19 Common Stock 500 0 D PUT OPTION: EUSPI [OBLIGATION TO PURCHASE] 6 2008-04-10 4 X 0 19 0 D 2008-04-19 Common Stock 1900 11 D This security is owned by Citadel Derivatives Group LLC. This security is owned by Citadel Derivatives Trading Group 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 third parties. This transaction was inadvertently coded "A" in the original Form 4 filing on April 14, 2008. 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/A 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. See attached Exhibit 99.1. /s/ John C. Nagel, Authorized Signatory 2008-08-11 EX-99.1 2 v122201_ex99-1.htm Unassociated Document
Explanation of Responses
 
Name:
Citadel Limited Partnership
   
Address:
Citadel Investment Group, 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:
4/10/08

 
CITADEL LIMITED PARTNERSHIP

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

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

 
 
 

JOINT FILER INFORMATION

Name:
Citadel Investment Group, L.L.C.
   
Address:
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/10/08
 

CITADEL INVESTMENT GROUP, L.L.C.

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

 
 
 

JOINT FILER INFORMATION

Name:
Citadel Equity Fund Ltd.
   
Address:
c/o Citadel Investment Group, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/10/08


CITADEL EQUITY FUND LTD.

By: Citadel Limited Partnership,
its Portfolio Manager

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

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

 
 
 
 
JOINT FILER INFORMATION

Name:
Citadel AC Investments Ltd.
   
Address:
c/o Citadel Investment Group, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/10/08


CITADEL AC INVESTMENTS LTD.

By: Citadel Limited Partnership,
its Portfolio Manager
     
By: Citadel Investment Group, L.L.C.,
its General Partner
     
By: /s/ John C. Nagel                          
John C. Nagel, Authorized Signatory
 
 
 
 

JOINT FILER INFORMATION

Name:
Kenneth Griffin
   
Address:
c/o Citadel Investment Group, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
4/10/08


KENNETH GRIFFIN

By: /s/ John C. Nagel                          
John C. Nagel, attorney-in-fact*

* John C. Nagel is signing on behalf of Kenneth Griffin as attorney-in-fact pursuant to a power of attorney previously filed with the Securities and Exchange Commission on February 24, 2006, and hereby incorporated by reference herein. The power of attorney was filed as an attachment to a filing by Citadel Limited Partnership on Schedule 13G for Morgans Hotel Group Co.
 
 
 
 
 
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