U.S. Securities & Exchange Commission
SEC Seal
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U.S. Securities and Exchange Commission


CARBONE RICHARD J (0001187441)
Mailing Address
C/O E*TRADE FINANCIAL CORP.
11 TIMES SQUARE, 32ND FLOOR 10036-9992
NEWARK NJ 10036-9992
Ownership Reports for Issuers: (Click on issuer name to see other owners for the issuer, or CIK for issuer filings.)

Issuer Filings Transaction Date Type of Owner
E TRADE FINANCIAL CORP 0001015780 2020-10-02 director
PRUDENTIAL FINANCIAL INC 0001137774 2003-06-03 officer: SVP and CFO


Items 1 - 80

The information presented below contains only portions of the information presented in the referenced filing or filings.
You should consult the original filing for complete information. Hyperlinks to the forms are provided for your convenience.

Acquistion or Disposition Transaction Date Deemed Execution Date Issuer Form Transaction Type Direct or Indirect Ownership Number of Securities Transacted Number of Securities Owned Line Number Issuer CIK Security Name
D 2020-10-02   E TRADE FINANCIAL CORP 4 D-Return --D 41677.0000 0.0000 1 0001015780 Common Stock
A 2020-08-25   E TRADE FINANCIAL CORP 4 A-Award --D 93.0000 41677.0000 1 0001015780 Common Stock
A 2020-05-19   E TRADE FINANCIAL CORP 4 A-Award --D 123.0000 41584.0000 1 0001015780 Common Stock
A 2020-05-08   E TRADE FINANCIAL CORP 4 A-Award --D 3186.0000 41461.0000 1 0001015780 Common Stock
A 2020-03-02   E TRADE FINANCIAL CORP 4 A-Award --D 108.0000 38275.0000 1 0001015780 Common Stock
A 2020-01-02   E TRADE FINANCIAL CORP 4 A-Award --D 792.0000 38167.0000 1 0001015780 Common Stock
A 2019-11-15   E TRADE FINANCIAL CORP 4 A-Award --D 108.0000 37375.0000 1 0001015780 Common Stock
A 2019-10-01   E TRADE FINANCIAL CORP 4 A-Award --D 1007.0000 37267.0000 1 0001015780 Common Stock
A 2019-08-26   E TRADE FINANCIAL CORP 4 A-Award --D 118.0000 36260.0000 1 0001015780 Common Stock
A 2019-07-01   E TRADE FINANCIAL CORP 4 A-Award --D 793.0000 36142.0000 1 0001015780 Common Stock
A 2019-05-20   E TRADE FINANCIAL CORP 4 A-Award --D 97.0000 35349.0000 1 0001015780 Common Stock
A 2019-05-10   E TRADE FINANCIAL CORP 4 A-Award --D 2630.0000 35252.0000 1 0001015780 Common Stock
A 2019-04-01   E TRADE FINANCIAL CORP 4 A-Award --D 761.0000 32622.0000 1 0001015780 Common Stock
A 2019-02-15   E TRADE FINANCIAL CORP 4 A-Award --D 87.0000 31861.0000 1 0001015780 Common Stock
A 2019-01-02   E TRADE FINANCIAL CORP 4 A-Award --D 826.0000 31774.0000 1 0001015780 Common Stock
A 2018-11-15   E TRADE FINANCIAL CORP 4 A-Award --D 76.0000 30948.0000 1 0001015780 Common Stock
A 2018-10-01   E TRADE FINANCIAL CORP 4 A-Award --D 694.0000 30872.0000 1 0001015780 Common Stock
A 2018-07-02   E TRADE FINANCIAL CORP 4 A-Award --D 550.0000 30178.0000 1 0001015780 Common Stock
A 2018-05-18   E TRADE FINANCIAL CORP 4 A-Award --D 154.0000 29628.0000 1 0001015780 Common Stock
A 2018-05-11   E TRADE FINANCIAL CORP 4 A-Award --D 2010.0000 29474.0000 1 0001015780 Common Stock
A 2018-04-02   E TRADE FINANCIAL CORP 4 A-Award --D 551.0000 27464.0000 1 0001015780 Common Stock
A 2018-01-02   E TRADE FINANCIAL CORP 4 A-Award --D 602.0000 26913.0000 1 0001015780 Common Stock
A 2017-12-01   E TRADE FINANCIAL CORP 4 A-Award --D 207.0000 26311.0000 1 0001015780 Common Stock
A 2017-10-02   E TRADE FINANCIAL CORP 4 A-Award --D 688.0000 26104.0000 1 0001015780 Common Stock
A 2017-08-18   E TRADE FINANCIAL CORP 4 A-Award --D 253.0000 25416.0000 1 0001015780 Common Stock
A 2017-07-03   E TRADE FINANCIAL CORP 4 A-Award --D 782.0000 25163.0000 1 0001015780 Common Stock
A 2017-05-12   E TRADE FINANCIAL CORP 4 A-Award --D 3777.0000 24381.0000 1 0001015780 Common Stock
A 2016-05-13   E TRADE FINANCIAL Corp 4 A-Award --D 5931.0000 20604.0000 1 0001015780 Common Stock
A 2015-05-08   E TRADE FINANCIAL Corp 4 A-Award --D 5173.0000 14673.0000 1 0001015780 Common Stock
A 2014-05-07   E TRADE FINANCIAL Corp 4 A-Award --D 7030.0000 9500.0000 1 0001015780 Common Stock
A 2013-08-27   E TRADE FINANCIAL Corp 4 A-Award --D 2470.0000 2470.0000 1 0001015780 Common Stock
A 2013-02-12   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 5606.0000 88799.0000 1 0001137774 Common Stock
D 2013-02-12   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 2348.0000 86451.0000 2 0001137774 Common Stock
D 2013-02-12   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 4976.0000 0.0000 4 0001137774 2010 Performance Shares
A 2013-02-12   PRUDENTIAL FINANCIAL INC 4 A-Award --D 58140.0000 58140.0000 5 0001137774 2013 Employee Stock Option (right to buy)
A 2013-02-12   PRUDENTIAL FINANCIAL INC 4 A-Award --D 6958.0000 6958.0000 6 0001137774 2013 Performance Shares
D 2013-02-09   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 1723.0000 83193.0000 1 0001137774 Common Stock
A 2012-03-09   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 48917.0000 147932.0000 1 0001137774 Common Stock
A 2012-03-09   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 48463.0000 196395.0000 2 0001137774 Common Stock
D 2012-03-09   PRUDENTIAL FINANCIAL INC 4 S-Sale --D 111479.0000 84916.0000 3 0001137774 Common Stock
D 2012-03-09   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 48917.0000 0.0000 5 0001137774 2/10/04 Employee Stock Option (right to buy)
D 2012-03-09   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 48463.0000 0.0000 6 0001137774 2/10/09 Employee Stock Option (right to buy)
A 2012-02-14   PRUDENTIAL FINANCIAL INC 4 A-Award --D 50442.0000 50442.0000 1 0001137774 2012 Employee Stock Option (right to buy)
A 2012-02-14   PRUDENTIAL FINANCIAL INC 4 A-Award --D 7240.0000 7240.0000 2 0001137774 2012 Performance Shares
A 2012-02-14   PRUDENTIAL FINANCIAL INC 4/A A-Award --D 52632.0000 52632.0000 1 0001137774 2012 Employee Stock Option (right to buy)
A 2012-02-10   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 27523.0000 111626.0000 2 0001137774 Common Stock
D 2012-02-10   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 12611.0000 99015.0000 3 0001137774 Common Stock
D 2012-02-10   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 27523.0000 0.0000 5 0001137774 2/10/09 Restricted Stock Units
D 2012-02-09   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 1690.0000 84103.0000 1 0001137774 Common Stock
D 2011-02-09   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 1677.0000 85793.0000 3 0001137774 Common Stock
A 2011-02-08   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 2628.0000 88533.0000 1 0001137774 Common Stock
D 2011-02-08   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 1063.0000 87470.0000 2 0001137774 Common Stock
D 2011-02-08   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 9084.0000 0.0000 5 0001137774 2008 Performance Shares
A 2011-02-08   PRUDENTIAL FINANCIAL INC 4 A-Award --D 29867.0000 29867.0000 6 0001137774 2011 Employee Stock Option (right to buy)
A 2011-02-08   PRUDENTIAL FINANCIAL INC 4 A-Award --D 4574.0000 4574.0000 7 0001137774 2011 Performance Shares
A 2011-01-18   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 5302.0000 88111.0000 1 0001137774 Common Stock
D 2011-01-18   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 2206.0000 85905.0000 2 0001137774 Common Stock
D 2011-01-18   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 5302.0000 0.0000 4 0001137774 1/18/08 Restricted Stock Units
A 2010-02-09   PRUDENTIAL FINANCIAL INC 4 A-Award --D 12438.0000 76646.0000 1 0001137774 Common Stock
A 2010-02-09   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 10945.0000 87591.0000 2 0001137774 Common Stock
D 2010-02-09   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 4782.0000 82809.0000 3 0001137774 Common Stock
D 2010-02-09   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 8838.0000 0.0000 5 0001137774 2007 Performance Shares
A 2010-02-09   PRUDENTIAL FINANCIAL INC 4 A-Award --D 27028.0000 27028.0000 6 0001137774 2010 Employee Stock Option (right to buy)
A 2010-02-09   PRUDENTIAL FINANCIAL INC 4 A-Award --D 4976.0000 4976.0000 7 0001137774 2010 Performance Shares
A 2010-01-18   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 10607.0000 68576.0000 1 0001137774 Common Stock
D 2010-01-18   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 4368.0000 64208.0000 2 0001137774 Common Stock
D 2010-01-18   PRUDENTIAL FINANCIAL INC 4 M-Exempt --D 10607.0000 5302.0000 4 0001137774 1/18/08 Restricted Stock Units
A 2009-02-10   PRUDENTIAL FINANCIAL INC 4 A-Award --D 7899.0000 61029.0000 1 0001137774 Common Stock
D 2009-02-10   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 3060.0000 57969.0000 2 0001137774 Common Stock
A 2009-02-10   PRUDENTIAL FINANCIAL INC 4 A-Award --D 48463.0000 48463.0000 4 0001137774 2/10/09 Employee Stock Option (right to buy)
A 2009-02-10   PRUDENTIAL FINANCIAL INC 4 A-Award --D 27523.0000 27523.0000 5 0001137774 2/10/09 Restricted Stock Units
A 2008-02-12   PRUDENTIAL FINANCIAL INC 4 A-Award --D 20616.0000 61597.0000 1 0001137774 Common Stock
D 2008-02-12   PRUDENTIAL FINANCIAL INC 4 F-InKind --D 8467.0000 53130.0000 2 0001137774 Common Stock
A 2008-02-12   PRUDENTIAL FINANCIAL INC 4 A-Award --D 29263.0000 29263.0000 4 0001137774 Employee Stock Option (right to buy)
A 2008-02-12   PRUDENTIAL FINANCIAL INC 4 A-Award --D 9084.0000 9084.0000 5 0001137774 Performance Shares
A 2008-01-18   PRUDENTIAL FINANCIAL INC 4 A-Award --D 45393.0000 45393.0000 1 0001137774 Employee Stock Option (right to buy)
A 2008-01-18   PRUDENTIAL FINANCIAL INC 4 A-Award --D 15909.0000 15909.0000 2 0001137774 Restricted Stock Units
A 2007-08-14   PRUDENTIAL FINANCIAL INC 4 P-Purchase --D 4500.0000 40481.0000 1 0001137774 Common Stock
A 2007-08-14   PRUDENTIAL FINANCIAL INC 4 P-Purchase --D 300.0000 40781.0000 2 0001137774 Common Stock
A 2007-08-14   PRUDENTIAL FINANCIAL INC 4 P-Purchase --D 100.0000 40881.0000 3 0001137774 Common Stock

http://www.sec.gov/cgi-bin/own-disp

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Modified: 04/22/2016