-----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, CTn9b8iQGg6RHzUB8zKzReHJroMuYgWcctIRQ8HZjDFX+EQ//dlvexiL5dwCyEzV uokLqaYJCKP62C59MydfEA== 0001144204-09-002804.txt : 20090121 0001144204-09-002804.hdr.sgml : 20090121 20090121171426 ACCESSION NUMBER: 0001144204-09-002804 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090115 FILED AS OF DATE: 20090121 DATE AS OF CHANGE: 20090121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRIFFIN KENNETH C CENTRAL INDEX KEY: 0001255159 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 09537203 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 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 L P CENTRAL INDEX KEY: 0001027745 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 09537207 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL EQUITY FUND LTD CENTRAL INDEX KEY: 0001255163 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 09537204 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 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 09537206 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 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: 09537199 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: 09537198 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 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: 09537208 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 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: 09537200 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 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: 09537201 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 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: 09537202 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 4 1 v137332_ex.xml X0303 4 2009-01-15 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001027745 CITADEL L P C/O CITADEL INVESTMENT GROUP, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001255158 CITADEL INVESTMENT GROUP LLC 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001255163 CITADEL EQUITY FUND LTD C/O CITADEL INVESTMENT GROUP, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001255159 GRIFFIN KENNETH C C/O CITADEL INVESTMENT GROUP, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 0 0 1 0 0001423053 CITADEL ADVISORS LLC C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR 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 ST., 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 2009-01-15 4 X 0 200 5 A 3813 D Common Stock 2009-01-16 4 X 0 5100 5 A 8913 D Common Stock 2009-01-16 4 X 0 500 10 D 8413 D Common Stock 2009-01-16 4 X 0 6000 7.50 D 2413 D Common Stock 2009-01-16 4 X 0 1000 40 D 1413 D Common Stock 2009-01-16 4 X 0 10000 20 D 0 D Common Stock 2009-01-16 4 X 0 16700 15 D 0 D Common Stock 2009-01-16 4 X 0 600 20 A 556445 D Common Stock 2009-01-16 4 X 0 125500 5 D 430945 D Common Stock 2009-01-16 4 X 0 31100 10 D 399845 D Common Stock 2009-01-16 4 X 0 36600 15 D 363245 D Common Stock 2009-01-16 4 X 0 32600 7.50 D 330645 D Common Stock 2009-01-16 4 X 0 13000 12.50 D 317645 D Common Stock 2009-01-16 4 X 0 31200 2.50 D 286445 D Common Stock 88812336 D PUT OPTION: EUSMA [OBLIGATION TO BUY] 5.00 2009-01-15 4 X 0 2 0 D 2009-01-17 Common Stock 200 51 D PUT OPTION: EUSMA [OBLIGATION TO BUY] 5.00 2009-01-16 4 X 0 51 0 D 2009-01-17 Common Stock 5100 0 D PUT OPTION: EUSMB [RIGHT TO SELL] 10.00 2009-01-16 4 X 0 5 0 D 2009-01-17 Common Stock 500 0 D PUT OPTION: EUSMU [RIGHT TO SELL] 7.50 2009-01-16 4 X 0 60 0 D 2009-01-17 Common Stock 6000 0 D PUT OPTION: EUSMY [RIGHT TO SELL] 40.00 2009-01-16 4 X 0 10 0 D 2009-01-17 Common Stock 1000 0 D PUT OPTION: EUSMD [RIGHT TO SELL] 20.00 2009-01-16 4 X 0 100 0 D 2009-01-17 Common Stock 10000 0 D PUT OPTION: EUSMC [RIGHT TO SELL] 15.00 2009-01-16 4 X 0 167 0 D 2009-01-17 Common Stock 16700 0 D PUT OPTION: EUSMD [OBLIGATION TO BUY] 20.00 2009-01-16 4 X 0 6 0 D 2009-01-17 Common Stock 600 0 D PUT OPTION: EUSMA [RIGHT TO SELL] 5.00 2009-01-16 4 X 0 1255 0 D 2009-01-17 Common Stock 125500 0 D PUT OPTION: EUSMB [RIGHT TO SELL] 10.00 2009-01-16 4 X 0 311 0 D 2009-01-17 Common Stock 31100 0 D PUT OPTION: EUSMC [RIGHT TO SELL] 15.00 2009-01-16 4 X 0 366 0 D 2009-01-17 Common Stock 36600 0 D PUT OPTION: EUSMU [RIGHT TO SELL] 7.50 2009-01-16 4 X 0 326 0 D 2009-01-17 Common Stock 32600 0 D PUT OPTION: EUSMV [RIGHT TO SELL] 12.50 2009-01-16 4 X 0 130 0 D 2009-01-17 Common Stock 13000 0 D PUT OPTION: EUSMZ [RIGHT TO SELL] 2.50 2009-01-16 4 X 0 312 0 D 2009-01-17 Common Stock 31200 0 D This security is owned by Citadel Derivatives Trading Ltd. This security is owned by Citadel Derivatives Group LLC. This security is owned by Citadel Equity Fund Ltd. The holdings of Citadel Derivatives Group LLC prior to execution of the buy transaction described in this Form 4 reflects a transfer of 248 shares of Common Stock that occurred on November 18, 2008 and was inadvertently omitted from the Reporting Persons' prior Form 4 filings. These 248 shares of Common Stock were transferred on November 18, 2008, for no consideration, to satisfy the Reporting Persons' delivery obligation resulting from an open short position with respect to 179 units of the Issuer's Corporate Units (as defined in the prospectus supplement filed by the Issuer on November 18, 2005), which short position had been established before the Reporting Persons became beneficial owners of more than 10% of the Issuer's common stock. The securities listed are exchange-traded option contracts. Exchange-traded options are immediately exercisable and remain exercisable until expiration. The transactions shown resulted from the exercise of in-the-money option contract by a third party or by the Reporting Persons The Form 4 filed by the Reporting Persons regarding option exercises on January 5, 2009 erroneously reported in column 9 of Table II that, following the exercise reported on such Form 4, the Reporting Persons beneficially owned no EUSMA Put Options contracts [Obligation to Buy]. It should have reported that, following the exercise reported on that Form 4, the Reporting Persons beneficially owned 53 EUSMA Put Options contracts [Obligation to Buy]. The Form 4 filed by the Reporting Persons regarding option exercises on October 9, 2008 erroneously reported in column 9 of Table II that, following the exercise reported on such Form 4, the Reporting Persons beneficially owned no EUSMD Put Options contracts [Obligation to Buy]. It should have reported that, following the exercise reported on that Form 4, the Reporting Persons beneficially owned 6 EUSMD Put Options contracts [Obligation to Buy]. The Reporting Persons borrowed shares to cover the sales resulting from the exercise of this option. 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. /s/ John C. Nagel, Authorized Signatory 2009-01-21 EX-99.1 2 v137332_ex99-1.htm Unassociated Document

Explanation of Responses
 
Name:
Citadel Limited Partnership
   
Address:
Citadel Investment Group, L.L.C.
131 S. Dearborn Street, 32 nd Floor
Chicago, Illinois 60603
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009

 
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, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009
 

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, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009


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:
Kenneth Griffin
   
Address:
c/o Citadel Investment Group, L.L.C.
131 S. Dearborn Street, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009


KENNETH GRIFFIN

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.
 
 
 

 

 
 
 

 
 
 

JOINT FILER INFORMATION

Name:
Citadel Advisors LLC
   
Address:
Citadel Investment Group II, L.L.C.
131 S. Dearborn Street, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009
 

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, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009


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, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009


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, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009


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, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009


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, 32 nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
1/15/2009


CITADEL INVESTMENT GROUP II, L.L.C.

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

 

 
 
 


 
 
 

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