Filing Details
- Accession Number:
- 0001144204-11-024279
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-27 16:16:50
- Reporting Period:
- 2011-04-25
- Filing Date:
- 2011-04-27
- Accepted Time:
- 2011-04-27 16:16:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1255159 | C Kenneth Griffin | C/O Citadel Llc 131 S. Dearborn Street, 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1255163 | Ltd Fund Equity Citadel | C/O Citadel Llc 131 S. Dearborn Street, 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1307720 | Citadel Securities Llc | C/O Citadel Llc 131 S. Dearborn Street, 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1417302 | Ltd Trading Derivatives Citadel | C/O Citadel Llc 131 S. Dearborn Street, 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1423043 | Citadel Holdings I Lp | C/O Citadel Llc 131 S. Dearborn Street, 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1423052 | Citadel Investment Group Ii, L.l.c. | C/O Citadel Llc 131 S. Dearborn Street, 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1423053 | Citadel Advisors Llc | C/O Citadel Llc 131 S. Dearborn Street, 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1423054 | Citadel Holdings Ii Lp | C/O Citadel Llc 131 S. Dearborn Street, 32Nd Floor Chicago IL 60603 | Yes | No | 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 | 2011-04-25 | 2,979,593 | $10.34 | 27,500,060 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-04-25 | 27,500,000 | $16.38 | 60 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Class A Convertible Debentures due 2019 | Disposition | 2011-04-25 | 0 | $0.00 | 2,979,593 | $10.34 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-08-25 | 2019-08-25 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,784 | Direct | |
| Common Stock | 24,754 | Direct |
Footnotes
- This security is owned by Citadel Derivatives Trading Ltd.
- This security is owned by Citadel Securities LLC.
- This security is owned by Citadel Equity Fund Ltd. ("CEF").
- The Class A Debentures were converted into Common Stock of the Issuer in accordance with the terms of the indenture governing such Debentures.
- The Class A Debentures remaining after the conversion on April 25, 2011 reported in Table II are convertible into an additional 27,394,390 shares of Common Stock.
Billionaire Hedge Funds
