SEC Form 4 · accession 0001015780-15-000007
E TRADE FINANCIAL CORP · ETFC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Healy
Director
Period of report
Jan 15, 2015
Accepted (ET)
Jan 20, 2015 · 5:02 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 15, 2015 | A | 674 | $0.00 | A | 674 | D | |
| Common StockF2 | Jan 15, 2015 | A | 1,349 | $0.00 | A | 2,023 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents retainer for service as a director of the Company deferred into restricted stock units ("DSUs"). Each DSU vests in full on January 15, 2016 and represents a contingent right to receive one share of the Company's common stock, which shall be delivered on the first anniversary of the date on which the director's service on the Company's Board terminates.
- F2Represents equity retainer for service as a director of the Company deferred into restricted stock units ("DSUs"). Each DSU vests in full on January 15, 2016 and represents a contingent right to receive one share of the Company's common stock, which shall be delivered on the first anniversary of the date on which the director's service on the Company's Board terminates.