Filing Details
- Accession Number:
- 0001144204-11-060932
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-02 20:38:05
- Reporting Period:
- 2011-10-27
- Filing Date:
- 2011-11-02
- Accepted Time:
- 2011-11-02 20:38:05
- 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 Investment Group Ii, L.l.c. 131 S Dearborn Street 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1255163 | Ltd Fund Equity Citadel | C/O Citadel Investment Group Ii, L.l.c. 131 S Dearborn Street 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1307720 | Citadel Securities Llc | C/O Citadel Investment Group Ii, L.l.c. 131 South Dearborn Street Chicago IL 60603 | Yes | No | No | No | |
| 1417302 | Ltd Trading Derivatives Citadel | C/O Citadel Investment Group Ii, L.l.c. 131 S Dearborn Street 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1423043 | Citadel Holdings I Lp | C/O Citadel Investment Group Ii, L.l.c. 131 Dearborn St., 32Nd Floor Chicago IL 60603 | Yes | No | No | No | |
| 1423052 | Citadel Investment Group Ii, L.l.c. | C/O Citadel Investment Group Ii, L.l.c. 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 Investment Group Ii, L.l.c. 131 Dearborn St., 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 | 2011-10-27 | 1,200 | $11.32 | 25,954 | No | 4 | P | Direct | |
| Common Stock | Disposition | 2011-10-27 | 1,200 | $11.41 | 24,754 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-10-28 | 2,500 | $11.60 | 27,254 | No | 4 | P | Direct | |
| Common Stock | Disposition | 2011-10-28 | 2,500 | $11.63 | 24,754 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-10-31 | 4,500 | $10.85 | 29,254 | No | 4 | P | Direct | |
| Common Stock | Disposition | 2011-10-31 | 4,500 | $10.88 | 24,754 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-11-02 | 5,200 | $10.22 | 29,954 | No | 4 | P | Direct | |
| Common Stock | Disposition | 2011-11-02 | 5,200 | $10.33 | 24,754 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | S | Direct | |
| No | 4 | P | Direct | |
| No | 4 | S | Direct | |
| No | 4 | P | Direct | |
| No | 4 | S | Direct | |
| No | 4 | P | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 4,784 | Direct | |
| Common Stock | 27,394,448 | Direct |
Footnotes
- This security is owned by Citadel Derivatives Trading Ltd.
- This security is owned by Citadel Equity Fund Ltd.
- This security is owned by Citadel Securities LLC. The trades reported in this Form 4 were executed inadvertently. The Reporting Persons notified the issuer that they intend to reimburse the issuer for any short swing profits with respect to the trades reported herein.
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