SEC Form 4 · accession 0001015780-15-000002
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew J Audette
Officer — EVP & Chief Financial Officer
Period of report
Jan 3, 2015
Accepted (ET)
Jan 6, 2015 · 5:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001015780
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 3, 2015 | F | 3,420 | $24.12 | D | 171,283 | D | |
| Common StockF2 | Jan 5, 2015 | S | 1,294 | $23.84 | D | 169,989 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares reported were withheld for payment of taxes associated with the vesting of approximately one-fourth of a grant of restricted stock originally made on January 3, 2011.
- F2Sale of common stock pursuant to a Rule 10b5-1 plan entered into on July 25, 2014, primarily for the payment of additional tax liability associated with the vesting of restricted stock on January 3, 2015.