0001015780-19-000040.txt : 20190208 0001015780-19-000040.hdr.sgml : 20190208 20190208213856 ACCESSION NUMBER: 0001015780-19-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190206 FILED AS OF DATE: 20190208 DATE AS OF CHANGE: 20190208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Roessner Karl A CENTRAL INDEX KEY: 0001580536 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 19581631 MAIL ADDRESS: STREET 1: C/O E*TRADE FINANCIAL CORP. STREET 2: 11 TIMES SQUARE, 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036-9992 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: 11 TIMES SQUARE, 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 6465214340 MAIL ADDRESS: STREET 1: 11 TIMES SQUARE, 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE FINANCIAL Corp DATE OF NAME CHANGE: 20111205 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE Fiancial Corp DATE OF NAME CHANGE: 20111130 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE FINANCIAL Corp DATE OF NAME CHANGE: 20111025 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2019-02-06 0 0001015780 E TRADE FINANCIAL CORP ETFC 0001580536 Roessner Karl A 11 TIMES SQUARE 32ND FLOOR NEW YORK NY 10036 1 1 0 0 Chief Executive Officer Common Stock 2019-02-06 4 A 0 11845 0.0 A 124148 D Common Stock 2019-02-06 4 F 0 6304 46.9825 D 117844 D Common Stock 2019-02-06 4 A 0 15631 0.0 A 133475 D Common Stock 2019-02-06 4 F 0 8319 46.9825 D 125156 D Common Stock 2019-02-06 4 A 0 7023 0.0 A 132179 D Common Stock 2019-02-06 4 F 0 3738 46.9825 D 128441 D Common Stock 2019-02-06 4 A 0 7022 0.0 A 135463 D Common Stock 2019-02-06 4 F 0 3738 46.9825 D 131725 D Common Stock 2019-02-08 4 A 0 48851 0.0 A 180576 D 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 2018. Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 5, 2016. 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 2018. 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 9, 2018, which vested based upon the Company's achievement of earnings per share and return on equity targets relating to 2018. Shares reported were withheld for payment of taxes associated with the vesting of performance share units previously granted on February 9, 2018. Restricted Stock Unit award that will vest over three years, with one-third vesting on February 8, 2020; one-third vesting on February 8, 2021; and the remaining one-third vesting on February 8, 2022. By: Lori Sher For: Karl A. Roessner 2019-02-08