Home > Insider Trading > Filing (0001015780-18-000026)

Filing Details

Accession Number:: 0001015780-18-000026
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-02-09 21:39:12
Reporting Period:: 2018-02-07

Accepted Time:: 2018-02-09 21:39:12
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
1449738	John Michael Curcio	11 Times Square 32Nd Floor New York NY 10036	Chief Brokerage Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2018-02-07	24,252	$52.03	207,235	No	4	S	Direct
Common Stock	Disposition	2018-02-07	280	$52.57	206,955	No	4	S	Direct
Common Stock	Acquisiton	2018-02-07	6,958	$0.00	213,913	No	4	A	Direct
Common Stock	Disposition	2018-02-07	2,334	$52.03	211,579	No	4	F	Direct
Common Stock	Acquisiton	2018-02-07	6,958	$0.00	218,537	No	4	A	Direct
Common Stock	Disposition	2018-02-07	1,956	$52.03	216,581	No	4	F	Direct
Common Stock	Disposition	2018-02-08	5,126	$50.64	211,455	No	4	S	Direct
Common Stock	Disposition	2018-02-08	4,500	$51.38	206,955	No	4	S	Direct
Common Stock	Acquisiton	2018-02-09	18,497	$0.00	225,452	No	4	A	Direct
Common Stock	Acquisiton	2018-02-09	4,110	$0.00	229,562	No	4	A	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	A	Direct
No	4	F	Direct
No	4	A	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct
No	4	A	Direct
No	4	A	Direct

Footnotes

Sale of common stock pursuant to a Rule 10b5-1 plan entered into on March 14, 2017.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.53 to $52.50, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $52.5650 to $52.57, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 3, 2017, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2017.
Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 3, 2017.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.16 to $51.105, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.17 to $51.64, inclusive. The reporting person undertakes to provide to E*TRADE Financial Corporation, any security holder of E*TRADE Financial Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Restricted Stock Unit award that will vest over three years, with one-third vesting on February 9, 2019; one-third vesting on February 9, 2020; and the remaining one-third vesting on February 9, 2021.