Home > Insider Trading > Filing (0001015780-18-000029)

Filing Details

Accession Number:: 0001015780-18-000029
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-02-09 21:39:50
Reporting Period:: 2018-02-07

Accepted Time:: 2018-02-09 21:39:50
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	11 Times Square 32Nd Floor New York NY 10036	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2018-02-07	4,837	$17.58	196,828	No	4	M	Direct
Common Stock	Disposition	2018-02-07	93,073	$52.03	103,755	No	4	S	Direct
Common Stock	Disposition	2018-02-07	1,366	$52.52	102,389	No	4	S	Direct
Common Stock	Acquisiton	2018-02-07	10,439	$0.00	112,828	No	4	A	Direct
Common Stock	Disposition	2018-02-07	5,556	$52.03	107,272	No	4	F	Direct
Common Stock	Acquisiton	2018-02-07	10,437	$0.00	117,709	No	4	A	Direct
Common Stock	Disposition	2018-02-07	5,555	$52.03	112,154	No	4	F	Direct
Common Stock	Acquisiton	2018-02-07	15,817	$0.00	127,971	No	4	A	Direct
Common Stock	Disposition	2018-02-07	8,418	$52.03	119,553	No	4	F	Direct
Common Stock	Disposition	2018-02-08	6,451	$49.82	113,102	No	4	S	Direct
Common Stock	Disposition	2018-02-08	10,519	$50.92	102,583	No	4	S	Direct
Common Stock	Disposition	2018-02-08	3,650	$51.46	98,933	No	4	S	Direct
Common Stock	Acquisiton	2018-02-09	30,829	$0.00	129,762	No	4	A	Direct

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option	Disposition	2018-02-07	4,837	$0.00	4,837	$17.58

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2018-02-10	No	4	M	Direct

Footnotes

Acquisition of common stock upon the exercise of stock options pursuant to a Rule 10b5-1 plan entered into on February 25, 2017.
Sale of common stock pursuant to a Rule 10b5-1 plan entered into on February 25, 2017.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $51.50 to $52.49, 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 $52.50 to $52.63, 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.
Represents the number of shares of Common Stock received in settlement of performance share units previously granted to the reporting person on February 5, 2016, 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 5, 2016.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.37 to $50.35, 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 $50.38 to $51.37, 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 $51.38 to $51.65, 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.
The stock options vested in four annual installments beginning on February 10, 2012.