Filing Details
- Accession Number:
- 0001015780-17-000026
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-14 17:22:31
- Reporting Period:
- 2017-02-10
- Filing Date:
- 2017-02-14
- Accepted Time:
- 2017-02-14 17:22:31
- 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 |
|---|---|---|---|---|---|---|---|
| 1644151 | A. Michael Pizzi | 1271 Avenue Of The Americas 14Th Floor New York NY 10020-1302 | Chief Financial Officer | No | 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 | Acquisiton | 2017-02-10 | 11,249 | $14.60 | 167,029 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-02-10 | 3,387 | $35.60 | 163,642 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-10 | 11,249 | $35.60 | 152,393 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-02-10 | 32,274 | $35.60 | 120,119 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2017-02-10 | 11,249 | $0.00 | 11,249 | $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
- 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 14, 2015.
- Sale of common stock pursuant to a Rule 10b5-1 plan entered into on August 14, 2015, including shares sold to cover the costs and tax liabilities associated with the exercise of stock options.
- The stock options vested in three annual installments beginning on February 11, 2011.
Billionaire Hedge Funds
