-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Gv62rZSD2IfqKqik/EOsGyip8ZeTW9PPRuJTsFK7Ytx1ZdTTNy1XljzDFD485M3Q ZBF8k+Dl4NCGT5aF7yOzDQ== 0001144204-09-042447.txt : 20090812 0001144204-09-042447.hdr.sgml : 20090812 20090812172517 ACCESSION NUMBER: 0001144204-09-042447 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090810 FILED AS OF DATE: 20090812 DATE AS OF CHANGE: 20090812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRIFFIN KENNETH C CENTRAL INDEX KEY: 0001255159 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 091007768 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: E TRADE FINANCIAL CORP CENTRAL INDEX KEY: 0001015780 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 942844166 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 135 E. 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 6503316000 MAIL ADDRESS: STREET 1: 135 E. 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE GROUP INC DATE OF NAME CHANGE: 19960531 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL L P CENTRAL INDEX KEY: 0001027745 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 091007772 BUSINESS ADDRESS: STREET 1: 131 S. DEARBORN STREET, 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: 131 S. DEARBORN STREET, 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL INVESTMENT GROUP LLC CENTRAL INDEX KEY: 0001255158 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 091007771 BUSINESS ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CITADEL EQUITY FUND LTD CENTRAL INDEX KEY: 0001255163 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 091007770 BUSINESS ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: 3123952100 MAIL ADDRESS: STREET 1: CITADEL INVESTMENT GROUP LLC STREET 2: 131 S DEARBORN STREET 32ND FL CITY: CHICAGO STATE: IL ZIP: 60603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WINGATE CAPITAL LTD CENTRAL INDEX KEY: 0001421343 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 091007769 BUSINESS ADDRESS: STREET 1: C/O DUNDEE LEEDS MANAGEMENT SERVICES STREET 2: P.O. BOX 2506GT, 28 N. CHURCH STREET CITY: GEORGETOWN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 312-395-2100 MAIL ADDRESS: STREET 1: C/O CITADEL INVESTMENT GROUP, L.L.C. STREET 2: 131 DEARBORN STREET, 32ND FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 4 1 v157507_ex.xml X0303 4 2009-08-10 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001027745 CITADEL L P C/O CITADEL INVESTMENT GROUP LLC 131 S. DEARBORN STREET, 32ND FL CHICAGO IL 60603 1 0 1 0 0001255158 CITADEL INVESTMENT GROUP LLC 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 1 0 1 0 0001255163 CITADEL EQUITY FUND LTD C/O CITADEL INVESTMENT GROUP, L.L.C. 131 S. DEARBORN STREET, 32ND FLOOR CHICAGO IL 60603 1 0 1 0 0001421343 WINGATE CAPITAL LTD C/O CITADEL INVESTMENT GROUP, L.L.C. 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 1 0 1 0 0001255159 GRIFFIN KENNETH C C/O CITADEL INVESTMENT GROUP II, L.L.C. 131 S. DEARBON STREET, 32ND FLOOR CHICAGO IL 60603 1 0 1 0 Common Stock 47848 D Common Stock 289145 D Common Stock 45454545 D Common Stock 2009-08-10 4 S 0 10889251 15250237 D 123377631 D Common Stock 2009-08-11 4 S 0 3000000 4166604 D 120377631 D This security is owned by Citadel Derivatives Trading Ltd. This security is owned by Citadel Securities LLC (f/k/a Citadel Derivatives Group LLC). This security is owned by Wingate Capital Ltd. ("Wingate"). This security is owned by Citadel Equity Fund Ltd. ("CEF"). The price reported in column 4 is the weighted average sale price of the shares sold on each day. The range of sale prices on 8/10/09 was between $1.38 and $1.44 per share. The range of sale prices on 8/11/09 was between $1.38 and $1.40 per share. Upon request by the SEC staff, the Issuer or a security holder of the Issuer, the Reporting Persons will supply the full information regarding the number of shares sold at each separate price. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities described herein except to the extent of such person's pecuniary interest therein. Mr. Griffin serves as a director of the Issuer deputized by the Reporting Persons. The Reporting Persons are addressing with the Issuer the application of Section 16(b) of the Securities Exchange Act of 1934, as amended, to the transactions reflected on this Form 4 and prior non-exempt transactions, if any. A Form 4 is limited to a maximum of ten reporting persons. As a result, this Form 4 is one of two filed today reporting on the same securities by the following eleven joint filers: Citadel Limited Partnership, Citadel Investment Group, L.L.C., Citadel Equity Fund Ltd., Wingate Capital Ltd., Kenneth C. Griffin, Citadel Advisors LLC, Citadel Holdings I LP, Citadel Holdings II LP, Citadel Securities LLC (f/k/a Citadel Derivatives Group LLC), Citadel Derivatives Trading Ltd. and Citadel Investment Group II, L.L.C. /s/ Adam C. Cooper, Authorized Signatory 2009-08-12 EX-99.1 2 v157507_ex99-1.htm Unassociated Document
Explanation of Responses
 
Name:
Citadel Limited Partnership
   
Address:
Citadel Investment Group, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
8/10/2009
 
 
CITADEL LIMITED PARTNERSHIP

By: Citadel Investment Group, L.L.C.,
its General Partner

By: /s/ Adam C. Cooper                          
Adam C. Cooper, Authorized Signatory


JOINT FILER INFORMATION

Name:
Citadel Investment Group, L.L.C.
   
Address:
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
8/10/2009
 

CITADEL INVESTMENT GROUP, L.L.C.

By: /s/ Adam C. Cooper                          
Adam C. Cooper, Authorized Signatory


JOINT FILER INFORMATION

Name:
Citadel Equity Fund Ltd.
   
Address:
c/o Citadel Investment Group, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
8/10/2009


CITADEL EQUITY FUND LTD.

By: Citadel Advisors LLC,
its Portfolio Manager
 
By: Citadel Holdings II LP,
its Managing Member
 
By: Citadel Investment Group II, L.L.C.,
its General Partner

By: /s/ Adam C. Cooper                          
Adam C. Cooper, Authorized Signatory


JOINT FILER INFORMATION

Name:
Kenneth Griffin
   
Address:
c/o Citadel Investment Group, L.L.C.
131 S. Dearborn Street, 32nd Floor
Chicago, Illinois 60603
   
Designated Filer:
Citadel Limited Partnership
   
Issuer and Ticker Symbol:
E*TRADE Financial Corporation [ETFC]
   
Date of Event
Requiring Statement:
8/10/2009


KENNETH GRIFFIN

By: /s/ Adam C. Cooper                          
Adam C. Cooper, attorney-in-fact*

* Adam C. Cooper is signing on behalf of Kenneth Griffin as attorney-in-fact pursuant to a power of attorney previously filed with the Securities and Exchange Commission on November 19, 2002, and hereby incorporated by reference herein. The power of attorney was filed as an attachment to a filing by Citadel Limited Partnership on Form 3 for Metals USA, Inc.
 
 
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