Unassociated Document

-----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, FglyqxPFFVY+26IwoUGhF3UkkFPlXtz986iCs1Kh4uAPB3sP3jXFNDVE4Rf4QbBu v3yWHn8qVv9EHMqogRmWFA== 0001144204-09-049861.txt : 20090924 0001144204-09-049861.hdr.sgml : 20090924 20090924191332 ACCESSION NUMBER: 0001144204-09-049861 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090922 FILED AS OF DATE: 20090924 DATE AS OF CHANGE: 20090924 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 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: 091085956 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: 091085955 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: 091085958 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: 091085954 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 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: 091085959 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: 091085957 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 v161211_ex.xml X0303 4 2009-09-22 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001423053 CITADEL ADVISORS LLC C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN ST., 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001423043 CITADEL HOLDINGS I LP C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN ST., 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001423054 CITADEL HOLDINGS II LP C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN ST., 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001307720 Citadel Derivatives Group, LLC C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN ST., 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001417302 CITADEL DERIVATIVES TRADING LTD C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN ST., 32ND FLOOR CHICAGO IL 60603 1 0 0 0 0001423052 CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBORN ST., 32ND FLOOR CHICAGO IL 60603 1 0 0 0 Common Stock 47848 D Common Stock 289145 D Common Stock 45454545 D Common Stock 2009-09-22 4 S 0 41500000 1.99 D 78877631 D Common Stock 2009-09-23 4 M 0 41499032 1.034 A 120376663 D Common Stock 2009-09-23 4 S 0 26500000 1.90 D 93876663 D Common Stock 2009-09-24 4 M 0 43498066 1.034 A 137374729 D Common Stock 2009-09-24 4 S 0 17000000 1.74 D 120374729 D Class A Convertible Debentures due 2019 1.034 2009-09-23 4 M 0 42910000 D 2009-08-25 2019-08-25 Common Stock 41499032 986760000 D Class A Convertible Debentures due 2019 1.034 2009-09-24 4 M 0 44977000 D 2009-08-25 2019-08-25 Common Stock 43498066 941783000 D This security is owned by Citadel Derivatives Trading Ltd. This security is owned by Citadel Securities LLC. This security is owned by Wingate Capital Ltd. This security is owned by Citadel Equity Fund Ltd. The price reported in Table I, Column 4 is the weighted average sale price of the shares sold on each day. The range of sale prices on 9/22/2009 was between $1.91 and $2.08 per share. The range of sale prices on 9/23/2009 was between $1.83 and $1.95 per share. The range of sale prices on 9/24/2009 was between $1.70 and $1.84 per share. Upon request by the SEC staff, the Issuer or a security holder of the Issuer, the Reporting Persons will supply the full information regarding the number of shares sold at each separate price. The Class A Debentures were acquired from the Issuer in exchange for certain non-convertible 12.5% springing lien notes due 2017 and non-convertible 8% senior notes due 2011 on August 25, 2009 following approval of such transaction by the Board of Directors and stockholders of the Issuer. 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. Mr. Griffin serves as a director of the Issuer deputized by the Reporting Persons. The Reporting Persons are addressing with the Issuer the application of Section 16(b) of the Securities Exchange Act of 1934, as amended, to the transactions reflected on this Form 4 and prior non-exempt transactions, if any. 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 Limited Partnership, Citadel Investment Group, L.L.C., Citadel Equity Fund Ltd., Wingate Capital Ltd., Kenneth C. Griffin, Citadel Advisors LLC, Citadel Holdings I LP, Citadel Holdings II LP, Citadel Securities LLC, Citadel Derivatives Trading Ltd. and Citadel Investment Group II, L.L.C. /s/ John C. Nagel, Authorized Signatory 2009-09-24 EX-99.1 2 v161211_ex99-1.htm Unassociated Document

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:	9/22/2009

CITADEL ADVISORS LLC

By: Citadel Holdings II LP,

its 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:	9/22/2009

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, 32nd Floor Chicago, Illinois 60603

Designated Filer:	Citadel Advisors LLC

Issuer and Ticker Symbol:	E*TRADE Financial Corporation [ETFC]

Date of Event Requiring Statement:	9/22/2009

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 Securities 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:	9/22/2009

CITADEL SECURITIES LLC

By: Citadel Holdings I LP,

its Non-Member 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:	9/22/2009

CITADEL DERIVATIVES TRADING LTD.

By: Citadel Advisors LLC,

its Portfolio Manager

By: Citadel Holdings II LP,

its 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:	9/22/2009

CITADEL INVESTMENT GROUP II, L.L.C.

By: /s/ John C. Nagel

John C. Nagel, Authorized Signatory

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