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
  1. 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withheld for payment of taxes associated with the vesting of approximately one-third of a grant of restricted stock originally made on February 7, 2014.
  2. Acquisition of common stock upon the exercise of stock options.
  3. 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.
  4. Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 5, 2015.
  5. The stock options vested in three annual installments beginning on February 11, 2011.