Filing Details
- Accession Number:
- 0001015780-17-000022
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-09 17:05:50
- Reporting Period:
- 2017-02-07
- Filing Date:
- 2017-02-09
- Accepted Time:
- 2017-02-09 17:05:50
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1015780 | E Trade Financial Corp | ETFC | Savings Institution, Federally Chartered (6035) | 942844166 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1580536 | A Karl Roessner | 1271 Avenue Of The Americas 14Th Floor New York NY 10020-1302 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2017-02-07 | 8,305 | $35.20 | 260,364 | No | 4 | F | Direct | |
Common Stock | Acquisiton | 2017-02-08 | 3,712 | $14.60 | 264,076 | No | 4 | M | Direct | |
Common Stock | Disposition | 2017-02-08 | 3,712 | $34.73 | 260,364 | No | 4 | S | Direct | |
Common Stock | Disposition | 2017-02-08 | 4,690 | $34.72 | 255,674 | No | 4 | S | Direct | |
Common Stock | Disposition | 2017-02-08 | 8,074 | $34.72 | 247,600 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | F | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option | Disposition | 2017-02-08 | 3,712 | $0.00 | 3,712 | $14.60 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2017-02-11 | No | 4 | M | Direct |
Footnotes
- Shares reported were withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 7, 2014.
- Acquisition of common stock upon the exercise of stock options.
- Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 5, 2015, including shares sold to cover the costs and tax liabilities associated with the exercise of stock options.
- Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 5, 2015.
- The stock options vested in three annual installments beginning on February 11, 2011.