-----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, G2Wh7kGC+W5BkJ8Rxhgm3ScIv04b1xkDAdrvST6RdIlzK6ax+hwmyWWQ2mEyk1eU bu7ZGFQy5HpwuH0UYoLp4w== 0001181431-06-030094.txt : 20060512 0001181431-06-030094.hdr.sgml : 20060512 20060512213209 ACCESSION NUMBER: 0001181431-06-030094 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060511 FILED AS OF DATE: 20060512 DATE AS OF CHANGE: 20060512 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: E TRADE FINANCIAL CORP CENTRAL INDEX KEY: 0001015780 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] 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: SIMMONS ROBERT J CENTRAL INDEX KEY: 0001110499 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 06836820 BUSINESS ADDRESS: BUSINESS PHONE: 6503316000 MAIL ADDRESS: STREET 1: C/O ETRADE FINANCIAL CORP STREET 2: 4500 BOHANNON DR CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 rrd117850.xml FORM 4 X0202 4 2006-05-11 0 0001015780 E TRADE FINANCIAL CORP ET 0001110499 SIMMONS ROBERT J C/O E*TRADE FINANCIAL CORPORATION 135 E. 57TH STREET NEW YORK NY 10022 0 1 0 0 Chief Financial Officer Common Stock 2006-05-11 2006-05-11 4 M 0 25000 9.175 A 0 D Common Stock 2006-05-11 2006-05-11 4 S 0 25000 26.2482 D 0 D Common Stock 2006-05-11 2006-05-11 4 M 0 14583 5.10 A 0 D Common Stock 2006-05-11 2006-05-11 4 S 0 14583 26.2482 D 0 D Common Stock 2006-05-11 2006-05-11 4 M 0 3827 5.10 A 0 D Common Stock 2006-05-11 2006-05-11 4 S 0 3827 26.2482 D 0 D Common Stock 2006-05-11 2006-05-11 4 M 0 1333 10.325 A 0 D Common Stock 2006-05-11 2006-05-11 4 S 0 1333 26.2482 D 0 D Common Stock 2006-05-11 2006-05-11 4 M 0 2500 4.435 A 0 D Common Stock 2006-05-11 2006-05-11 4 S 0 2500 26.2482 D 165504 D Non-Statutory Stock Option (right to buy) 9.175 2006-05-11 4 M 0 25000 0 D 2002-04-23 2011-05-11 Common Stock 25000 50000 D Non-Statutory Stock Option (right to buy) 5.10 2006-05-11 4 M 0 14583 0 D 2001-12-31 2011-09-24 Common Stock 14583 29167 D Non-Statutory Stock Option (right to buy) 5.10 2006-05-11 4 M 0 3827 0 D 2002-09-30 2011-09-24 Common Stock 3827 7653 D Non-Statutory Stock Option (right to buy) 10.325 2006-05-11 4 M 0 1333 0 D 2003-01-02 2012-01-02 Common Stock 1333 2667 D Non-Statutory Stock Option (right to buy) 4.435 2006-05-11 4 M 0 2500 0 D 2004-01-31 2013-01-31 Common Stock 2500 7500 D The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 8, 2006. This plan was implemented as part of Mr. Simmons' personal long-term investment strategy for asset diversification and liquidity. Pursuant to the plan, a total of 241,730 shares may be sold on a periodic basis between May 2006 and April 2007, at which time the plan will terminate. /s/ Russell S. Elmer 2006-05-12 -----END PRIVACY-ENHANCED MESSAGE-----