0001157523-12-006084.txt : 20121115 0001157523-12-006084.hdr.sgml : 20121115 20121115080521 ACCESSION NUMBER: 0001157523-12-006084 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121114 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20121115 DATE AS OF CHANGE: 20121115 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-11921 FILM NUMBER: 121207014 BUSINESS ADDRESS: STREET 1: 1271 AVENUE OF THE AMERICAS FL 14 CITY: NEW YORK STATE: NY ZIP: 10020-1302 BUSINESS PHONE: 6503316000 MAIL ADDRESS: STREET 1: 1271 AVENUE OF THE AMERICAS FL 14 CITY: NEW YORK STATE: NY ZIP: 10020-1302 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 FORMER COMPANY: FORMER CONFORMED NAME: E TRADE FINANCIAL CORP DATE OF NAME CHANGE: 20031001 8-K 1 a50479463.htm E*TRADE FINANCIAL CORPORATION 8-K

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549



FORM 8-K

CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES AND EXCHANGE ACT OF 1934



Date of Report: November 14, 2012
(Date of earliest event reported)


E*TRADE Financial Corporation
(Exact name of registrant as specified in its charter)

Delaware

1-11921

94-2844166

(State or other jurisdiction of incorporation)

(Commission File Number)

(I.R.S. Employer Identification No.)

1271 Avenue of the Americas, 14th Floor, New York, New York 10020

New York, New York 10022

(Address of principal executive offices and zip code)

Registrant’s telephone number, including area code:  (646) 521-4300

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

⃞ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

⃞ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

⃞ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

⃞ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 5.02.          Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Effective November 14, 2012 (the “Effective Date”), the Board of Directors expanded the number of members of the Board from ten to eleven and elected Mr. James Lam as a Director.  Mr. Lam will stand for re-election at the next Annual Stockholders Meeting in May, 2013.  The Board of Directors appointed Mr. Lam to serve as a member of the Audit Committee and as a member of and Chair of its Risk Oversight Committee.

Consistent with the Company’s non-employee director compensation policy, as of the Effective Date, the Board of Directors approved the payment of a pro-rata retainer to Mr. Lam in the amount of $30,000 in cash; and a grant of restricted stock with a fair market value on the date of grant equal to $25,000, which will vest one-year from the grant date.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

E*TRADE FINANCIAL CORPORATION

 

Dated:

November 14, 2012

By:

/s/ Karl A. Roessner

Name: Karl A. Roessner

Title: Corporate Secretary